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Rfp-nocall.doc

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Rfp-nocall.doc

  1. 1. Project No. 24376 Request for Proposals TO ASSIST THE PUBLIC UTILITY COMMISSION OF TEXAS IN IMPLEMENTING A STATEWIDE “DO NOT CALL” LIST Authorized By Section 43.101 of the Business and Commerce Code, and Section 39.1025 of the Public Utility Regulatory Act, Tex. Util. Code Ann. (Vernon Supp. 2001) Public Utility Commission of Texas William B. Travis Building 1701 North Congress Avenue Austin, Texas 78701 Dated Material---Open Immediately Closing Date---3:00 p.m., Central Time November 8, 2001
  2. 2. Public Utility Commission of Texas Table of Contents SECTION 1: BACKGROUND INFORMATION................................................................4 SECTION 2: SCOPE OF SERVICES AND PERFORMANCE REQUIREMENTS..........4 SECTION 3: INFORMATION REQUIRED FROM PROPOSERS.................................10 SECTION 4: FEE SECTION...........................................................................................13 SECTION 5: CONDITIONS FOR SUBMISSION OF PROPOSALS.............................14 SECTION 6: ANTICIPATED SCHEDULE OF ACTIVITIES..........................................15 SECTION 7: AUTHORITY..............................................................................................15 SECTION 8: RFP AVAILABILITY..................................................................................15 SECTION 9: QUESTIONS REGARDING THE RFP PROCESS...................................15 SECTION 10: TIMING/DEADLINE FOR SUBMISSION OF PROPOSALS..................16 SECTION 11: ORAL PRESENTATION.........................................................................17 SECTION 12: RECEIPT OF PROPOSALS...................................................................17 SECTION 13: METHOD OF SUBMITTAL.....................................................................17 SECTION 14: LOCATION OF THE CENTRAL RECORDS DIVISION.........................17 SECTION 15: NUMBER OF COPIES REQUIRED........................................................18 SECTION 16: SOLE POINT OF CONTACT..................................................................18 SECTION 17: COMPENSATION OF SELECTED PROPOSER...................................18 SECTION 18: DELIVERABLES.....................................................................................18 RFP # 02-473-000#/Project 24376 2
  3. 3. SECTION 19: SELECTION CRITERIA..........................................................................19 SECTION 20: REVIEW OF PROPOSALS.....................................................................19 SECTION 21: CONTRACT TERMS...............................................................................20 SECTION 22: REQUIRED CERTIFICATION.................................................................20 Attachment A...............................................................................................................................................................22 Attachment B......................................................................................................................................................23 Attachment C...............................................................................................................................................................24 Attachment D...............................................................................................................................................................29 Attachment E...............................................................................................................................................................30 Attachment F...............................................................................................................................................................32 Attachment G..............................................................................................................................................................33 Attachment H..............................................................................................................................................................34 Attachment I................................................................................................................................................................35 RFP # 02-473-000#/Project 24376 3
  4. 4. PUBLIC UTILITY COMMISSION OF TEXAS PROJECT NO. 24376 REQUEST FOR PROPOSALS TO ASSIST THE PUBLIC UTILITY COMMISSION OF TEXAS IN IMPLEMENTING A STATEWIDE “DO NOT CALL” LIST This Request for Proposals (RFP) is issued pursuant to the Public Utility Commission's (PUC) authority under Title IV, Tex. Bus. & Comm. Code, Chapter 43, Subchapter C, Sections 43.101 through 43.104 and Title II Texas Utilities Code, Chapter 39, Subchapter C, Section 39.1025. The commission is responsible for establishing and operating a database that lists the names, addresses, and telephone numbers of consumers in this state who object to receiving unsolicited telemarketing or telephone calls. In addition to this general list, the commission must also establish and operate a database for electric consumers who object to receiving unsolicited telemarketing or telephone calls relating to the customer’s choice of retail electric providers. The commission is authorized to enter into a contract for the operation of this database. SECTION 1: BACKGROUND INFORMATION Section 39.1025 of the Public Utility Regulatory Act places limitations of telephone solicitation related to retail electric service. The commission adopted PUC Substantive Rule § 25.484 to implement the statutory provision. Additionally on June 17, 2001 Gov. Rick Perry signed into law House Bill 472, relating to the regulation of telemarketing solicitation. HB 472, codified in Chapter 43, Subchapter C, Tex. Bus. & Comm. Code, requires the PUC to establish a statewide “Do Not Call” list and provides penalties for companies found to be operating in violation of HB 472 provisions. The “Do Not Call” list provisions take effect January 1, 2002. The relevant statutes and commission rules can be found in Attachment I. Telemarketer is defined in Bus. & Comm. Code § 43.002. For purposes of this RFP the terms "telemarketer" and "telephone solicitor" are used interchangeably. SECTION 2: SCOPE OF SERVICES AND PERFORMANCE REQUIREMENTS 2.1 Background This RFP contains three different services for which a vendor is needed. These services, which are described more fully in Sections 2.2, 2.3, and 2.4 herein, contemplate the need for: a. the assistance of a central vendor that will be responsible for the acceptance of applications and fees; RFP # 02-473-000#/Project 24376 4
  5. 5. b. data entry and maintenance of two databases: one listing information pertaining to customers who register for the No Call List, the other listing registered entities who wish to receive the No Call List; and c. initial and updated No Call Lists being made available to registered entities upon proper request. 2.2 Acceptance of Applications and Fees Requirements of Contractor. The contractor is required to accept applications and fees for the No Call List from residential subscribers, Retail Electric Providers and telephone solicitors. The contractor must be able to provide applications for placement on the No Call List to interested persons no later than January 1, 2002. The contractor must also be able to provide applications to entities wishing to receive the No Call List no later than January 1, 2002. The contractor shall retain applications for a period of five (5) years from date of receipt and shall not transfer or destroy these records until receiving written permission from the commission to do so. Availability of Applications. The contractor shall provide a toll-free telephone number and internet address for persons to use in order to obtain, at no charge, a copy of the application form. Applications must be obtainable 24 hours a day, 7 days a week via at least one method maintained by the contractor. The toll-free telephone number and internet mail address shall be obtained by the contractor and shall be accessible no later than January 1, 2002. The commission will retain the exclusive right of use of the toll- free number and internet address. Within ten (10) business days of the Effective Date of any contract executed as a result of this RFP, the contractor shall provide the PUC Contract Administrator with the proposed toll-free telephone number and internet address for review and approval. Additionally, on or before December 21, 2001, the contractor shall provide mock-ups of the internet pages the contractor proposes using to the PUC Contract Administrator for review and approval. Acceptance of Applications. The contractor must accept an application and accompanying fee to place a residential telephone number on the No Call List from a person who subscribes to residential telephone service from a certificated telecommunications utility, or from any other person living with the subscriber. Business telephone numbers are not permitted to be placed on the list. The contractor must also accept applications and accompanying fees from companies wishing to be provided with the No Call List. All applicants are required to complete an application or telephonically request inclusion or renewal on the list, and pay the fee specified by the commission before their residential telephone number will be included on the No Call List or they are provided access to the No Call List. A separate application must be made and fee paid for each residential telephone number to be included on the List, or for each company wishing to receive the list.. The contractor will be required to advise customers, in writing, at a minimum of fifty days in advance of the expiration of their placement on the No Call List, such that RFP # 02-473-000#/Project 24376 5
  6. 6. the customer has at least 30 days to renew his application with no interruption of placement on the list. The commission in conjunction will determine the form of the registration application with the contractor at a later date. The No Call List application at a minimum will include: the applicant’s name and mailing address; the name under which the residential subscriber’s local telephone service is listed; and the residential telephone number to be included on the list. Other information that may be included on the No Call List application will be determined by the commission in conjunction with the contractor at a later date. Applicants must be able to submit payment by personal check, money order, or credit card, or by other means acceptable to the contractor and permissible by law. All credit card transactions refused will result in the deletion of the applicant information from the database. Any dishonored checks, or checks returned for insufficient funds, will result in the deletion of the applicant information from the database. The contractor shall promptly notify the applicant if its credit card has been rejected or check dishonored and shall return such check to the applicant, if requested by applicant. The contractor shall not assess any additional fee to an applicant for any dishonored check. Once the contractor receives a completed application (including proper fee), information relating to the residential subscriber’s telephone number must be placed on the No Call List within two (2) business days. Similarly, once the contractor received a completed application (including proper fee), an entity will be registered and eligible to access the No Call List within two (2) business days. The contractor shall accept properly completed applications via the following mechanisms: U.S. Mail (at an address obtained by the contractor); internet, and telephonically. Telephone solicitors must pay a fee specified by the commission (not to exceed $75) each quarter for which they seek access to the List. 2.3 Creation and Maintenance of Databases Requirements of Contractor. The contractor will be required to create and maintain two databases: one comprised of residential telephone numbers to be placed on a comprehensive No Call List or at the subscriber’s request, an Electric No Call List, and the other comprised of companies wishing to receive the No Call List. At all times, the PUC shall have exclusive ownership of the database(s) and all information obtained in the creation and operation of the No Call List. Information Required in the Residential Telephone Number No Call List Database • Name and Mailing Address of Applicant • Name and Mailing Address of the Residential Subscriber by Which Local Telephone Service is Provided • Method of Initial Payment (check or money order number, bank/credit card number) RFP # 02-473-000#/Project 24376 6
  7. 7. • Residential Telephone Number to be Included on the List (including area code) • Category of Telephone Solicitation being Prohibited by Applicant (electric only or all) • Date Initial Application Received • Date Names and Residential Telephone Numbers Added to the List • All Renewal Dates and Methods of Payment for Renewals • Manner in which Application was Received (i.e. mail, phone, internet) Information Required in Telephone Solicitor/Retail Electric Provider Database • Legal name (and d/b/a, if applicable) of Registering entity, group or individual (as maintained by Texas Secretary of State, local county clerk, or other state certification entity) • Federal Tax identification number • Name Telephone Solicitor will use when contacting the public • Telephone Number of Registering Entity, Group or Individual (Complaint/compliance contact) • Address of Principal Place of Business of Registering Entity, Group or Individual (Complaint/compliance contact) • Date Application Received • Nature of Business • Applicable certification number for Company Registering (Issued by any Texas state regulatory or administrative board) Test Date/Operational Date. Within ten (10) business days of the Effective Date of any contract executed as a result of this RFP, the contractor shall provide a working model of the databases for testing, demonstration, and acceptance review by the commission. The databases shall be fully operational and ready for use on January 1, 2002. Database Compatibility Requirements. The databases shall be designed and created using either: 1)Microsoft Access, version 2000 or higher, or 2)Microsoft SQL Server database environment, version 2000 or higher, or 3)approved equivalent. The contractor must have the capability to upgrade the databases to future versions of Microsoft Access or Microsoft SQL Server as required by and in conjunction with the commission. Proposed use of databases based on a different database environment (i.e. Oracle, Informix, etc.) may be deemed non-responsive. If contractor uses Microsoft SQL Server, then contractor shall utilize Microsoft Active Server Pages (MSASP) and/or Visual Basic (VB) or approved equivalent application development tool to provide Windows based, object oriented user applications and necessary user interfaces. Any software licenses required by the commission to utilize an application development tool other than MSASP and/or VB shall be obtained and provided by contractor at no cost to the commission. Database Updates. The contractor shall be responsible for updating the No Call List database and the Registered Entities database. Specifically, the No Call List shall be updated for distribution to the registered entities by the first day of January, April, July and October. RFP # 02-473-000#/Project 24376 7
  8. 8. Database Security. The contractor must take all reasonable and necessary steps and measures to ensure the integrity and security of the databases. The contractor shall take all reasonable and necessary steps and measures to secure both the database hardware and software and to prevent unauthorized access to database information. Such measures shall include but shall not be limited to: web server/data store server security, virus/anti- virus protection, and firewall security with the main secured database. The contractor shall develop and implement a disaster recovery plan, which plan shall be subject to approval by the commission. The disaster recovery plan shall include, but is not limited to, the daily backup of the databases, to be stored offsite in a secure and fireproof environment. In addition, the contractor will store the physical server housing the databases in a physically secure area to prevent any misuse or tampering. Database Quality of Service. The contractor shall maintain and administer the database and No Call List in accordance with the highest professional standards by following and applying applicable technical guidelines and industry standards. The quality of service provided by the contractor shall be as follows: A. For sixty (60) days following January 1, 2002, the database shall not be “down” for over forty-eight (48) consecutive hours. For the remaining term of the contract, the database shall not be “down” for over twenty-four (24) consecutive hours, nor more than one percent (1%) of the time during any given quarterly period, excluding time for scheduled maintenance. For purposes of this agreement, “down” shall mean that the database is not fully operational and capable of allowing the input, collection, processing, storage, reporting and retrieval of data as contemplated by the contract. The contractor shall prepare a quarterly report that summarizes the database performance and allows the PUC to monitor compliance with this provision. B. No more than one (1) call in twenty (20) shall receive a busy signal when calling the toll-free access number established by the contractor. C. The contractor shall randomly audit the databases and database information by comparing the entered data with the information on the applications to ensure proper entry. These audits will be performed on a quarterly basis and will consist of a random audit of at least two (2) percent of all data entries for the applicable month. The contractor shall make a reasonable effort to ensure that not more than one (1) percent of subscriber applications are entered into the database incorrectly. Once an error has been identified and confirmed, the contractor shall immediately commence correction of the data entry error. The contractor shall complete the necessary correction within three (3) business days. Copies of these quarterly audit reports shall be provided to the PUC Contract Administrator. D. The contractor shall report major service problems to the PUC Contract Administrator within four (4) hours of the onset of such problems or by 8 a.m. the next business day. RFP # 02-473-000#/Project 24376 8
  9. 9. Database Inquiries and Consumer Complaints. The contractor will, in an professionally acceptable and appropriate manner, answer questions regarding the use of the database from subscribers and registered entities, and all applicants. The contractor is not required to answer complaints from subscribers regarding compliance with and enforcement of the program. The contractor will refer all questions and complaints regarding compliance and enforcement to the PUC. For up to two (2) years after termination or expiration of the contract, the contractor shall be available to provide testimony, documentary evidence, and any other assistance deemed necessary by the PUC at any administrative or legal proceeding regarding enforcement of the No Call List at no additional cost to the PUC, except for reasonable travel and lodging expenses in accordance with State Travel Guidelines. 3.4 Provide Access to the Lists Requirements of Contractor. The contractor will be required to provide access to the No Call List database to registered telephone solicitors, retail electric providers, the commission, and other state agencies at the commission’s direction. The contractor shall make the database available to a registered entity for download over the internet with security measures in place designed to prevent access by unauthorized parties. The contractor shall provide a mechanism for registered entities to download or receive only specific portions of the list requested by that entity, such as only telephone numbers located in Houston, or only those telephone numbers with a certain area code. Each registered entity shall be given the option of receiving the data on a compact disk (CD). Additionally, the contractor must publish the Texas portion of its national no-call list in an electronic format for any registered telemarketer. Such telemarketer must agree to use the Texas no-call list only for the purposes of updating its’ no-call list by including in its list persons with whom the telemarketer does not have an existing business relationship. Registered telephone solicitors are required to renew their lists quarterly and are given a sixty (60) day grace period on newly published telephone numbers. The contractor must also provide the No Call List data to the National Direct Marketing Association for inclusion on the National No Call List. Once a quarter the contractor will be required to run the No Call List database against the U.S. Post Office National Change of Address purging the residential telephone numbers of those residential subscribers who have moved out of state. Information Available to Telephone Solicitors and the National Direct Marketing Association. Telephone solicitors that subscribe to the List will be given access only to the registered residential subscriber’s telephone number, the date the telephone number was placed on the comprehensive No Call List, and the city in which the residential subscriber resides. Names and addresses will not be given out as part of the List under any circumstances. The contractor will refer requests for information other than that on the published list, such as a request for names and addresses, to the PUC’s General Counsel. RFP # 02-473-000#/Project 24376 9
  10. 10. REPs shall, after paying the appropriate fee(s), be provided access to both the comprehensive list and the list of those subscribers wishing to limit only electric telemarketing . Information Available to the Commission. The commission will have password protected, unlimited access to the No Call List on regular business days during regular business hours of the PUC. Electronic access will include suitable interface on the Internet with searchable access by residential telephone number to all the information contained in the database. Additionally, the contractor shall provide the commission with quarterly reports, which at a minimum, contain the following information: • The total number of subscribers who registered for the database during the previous quarter; • The total number of telephone numbers on the No Call List to date; • The total amount of fees paid by new subscribers during the previous quarter, • The total amount of fees paid by all subscribers to date; • The total number of Registered Entities (telephone solicitors and qualified trade associations) who have requested and been sent copies of the No Call List during the previous quarter; • The total number of all Registered Entities who have requested and been sent copies of the No Call List to date; • The total amount of fees paid by Registered Entities for the No Call List during the previous quarter; • The total amount of fees paid by Registered Entities for the No Call List to date. Information Not Available to the General Public. The List and information obtained through the applications and/or renewals of residential subscribers is not transferable and cannot be resold. Any entity, group, or individual receiving the List may not use it for commercial solicitations of any type. SECTION 3: INFORMATION REQUIRED FROM PROPOSERS All proposals must include an offer to perform each of the services described in this RFP and listed under section 2.1 of this RFP. Proposers planning to combine with other vendors in a common effort should provide a complete proposal that includes all of the requested information for all vendors involved. A proposal must be submitted in the format outlined below. Prepare consecutively numbered pages with index tabs for each section, as outlined below. A. Statement of Eligibility. By statute only entities that have maintained a national no-call list database for more than two years containing the names, addresses, and telephone numbers of consumers in Texas who have previously requested to be added to the vendor's national no-call list, are eligible for an award of any contract resulting from this RFP. Submit documentation establishing that the proposer has maintained a national no- RFP # 02-473-000#/Project 24376 10
  11. 11. call list database for more than two years containing the names, addresses, and telephone numbers of consumers in Texas who have previously requested to be added to the proposer’s national no-call list. Failure to submit this documentation will automatically disqualify the proposal from further consideration. B. Statement of the Requirements. State in succinct terms the proposer’s understanding of the requirements presented in this RFP. C. Management Summary. Prepare a narrative description of the proposed effort, which shall include, but not be limited to, a list of tangible and intangible work products that will be delivered; a proposed timeline for the creation of databases; and the manner in which the databases will be operated. There should be a separate narrative description for each of these work tasks. D. Work Plan. Submit a work plan that specifically identifies the tasks or steps the proposer intends to undertake to accomplish the requirements outlined in this RFP. Task descriptions are to be the guide in describing the proposer’s technical plan for accomplishing the work. The task descriptions should be very detailed in order to afford the commission a thorough understanding of the work plan. Proposers are cautioned that their proposal may be rejected if their work plan does not include specific recommendations of how each of the task descriptions will be accomplished. E. Prior Experience and Qualifications. Identify any relevant qualifications, including studies or projects, in addition to the eligibility documentation submitted under paragraph A of this subsection. Include the name of the client and the name, address, and phone number of the responsible official of the client company or agency who may be contacted. Also highlight any experience in the state of Texas. F. Personnel. Provide the name of the individual proposed as project leader for each work task, together with a detailed resume of their experience conducting similar efforts should be provided. Also, provide a detailed resume for each individual -- executive, professional, management analyst, systems analyst, auditor, staff consultant, etc -- who will be engaged in the work, describing the qualifications applicable to the performance of the tasks. Please include an organizational chart showing reporting relationships of team personnel. The commission must be notified of any personnel changes in which individuals assigned to work on this project are relieved of their responsibilities. G. Statement on Potential Conflicts of Interest. Identify any relationships between the proposer or its employees and the companies under the jurisdiction of the commission, or any subsidiaries or affiliates of such companies. Include the extent, nature and time aspects of those relationships. If there have been no such relationships, a statement to that effect shall be included in the proposal. The PUC in its sole discretion will determine if a conflict of interest exists and whether it renders the proposer ineligible. Failure to provide the statement on potential conflicts of interest will automatically disqualify the proposal from further consideration. H. Fees. Submit proposed fees in the format outlined in Section 4, FEE SECTION. Proposers shall enter all requested information in the proper column(s). Failure to submit fees and information as requested shall disqualify the proposal from further consideration. Additionally, the proposer shall describe the financial capability of the organization to complete the work required. The proposer must demonstrate that it has the assets and resources available to fulfill any resulting contract for services. Acceptable RFP # 02-473-000#/Project 24376 11
  12. 12. evidence includes a recent audited financial statement from a certified public accountant, compiled financial report or statement from a certified public accountant or banker. I. Other. Article 2.45 of the Texas Business Corporation Act provides that a corporation that is delinquent in franchise tax "may not be awarded a contract by the state or an agency of the state...." Proposers, if incorporated, shall attach a current franchise tax Certificate of Good Standing, issued by the Texas State Comptroller's office, to the proposal. Proposers shall provide to the PUC, Proposer's 9-digit Federal Employer's Identification Number (FEI#); Social Security Number (SSN) if Proposer is an individual; or Proposer's 5-digit State of Texas Vendor’s Identification Number (VIN). If incorporated, Proposer shall also provide to PUCT the corporation's charter number issued by the Texas Secretary of State's office.  The PUC reserves the right to select a proposal based on the ability of the proposer to provide the best value to the state, in addition to the ability of each proposer to carry out all of the requirements contained in this RFP, demonstrated competence and qualifications of the proposer and the reasonableness of the proposed fees.  Additions or replacements to the proposal will not be accepted after the closing date for receiving the proposal in the Central Records of the PUC. However, the proposer must furnish additional information that the PUC may reasonably require as requested.  After a contract is awarded, the work plan must be reviewed and approved in final form by the PUC or its designated representative. The PUC will have 10 working days for review. The selected proposer must work with the PUC staff to clarify and/or modify any items. PUC approval shall not be unreasonably withheld.  The selected proposal will be incorporated into a contract prepared by the PUC for signature by the contracting parties. The resulting contract shall contain these provisions: 1.) The contractor shall hold PUC harmless from and shall indemnify PUC against any and all claims, demands, and causes of action of whatever kind or nature asserted by a third party and occurring or in any way incident to, arising out of, or in connection with wrongful acts of the contractor, its Agents, Employees, and subcontractors, done in the conduct of the contract project. 2.) The contractor must commence and perform project activities according to the schedule described in the work plan. Cost and schedule overruns may result in performance penalties, up to and including monetary penalties of $1,000 per day, imposed by the PUC.  The PUC will notify each proposer in writing of their selection or non-selection. Copies of all proposals, except for two copies of the selected proposal(s), will be destroyed unless the proposer notifies the PUC in writing within 30 days of the date of the selection/non-selection letter that the proposals are to be returned to the proposer at the proposer’s expense.  Following award of a contract, responses to this RFP are subject to release as public information unless the response or specific parts of the response can be shown to be exempt from disclosure under Chapter 552 of the Texas Government Code, commonly known as the Open Records Act. Proposers are advised to consult legal counsel regarding disclosure issues and to take appropriate precautions to safeguard trade secrets and any other proprietary information. The PUC assumes no obligation for asserting legal arguments on behalf of RFP # 02-473-000#/Project 24376 12
  13. 13. potential proposers. If a proposer believes that a proposal or part of a proposal is confidential, then the proposer must so specify. The proposer must stamp in bold red letters the term “CONFIDENTIAL” on the part of the proposal that the proposer believes to be confidential. The proposer must submit in writing specific detailed reasons, including relevant legal authority, stating why the proposer believes the material to be confidential. Vague and general claims to confidentially will not be accepted. The PUC will be the sole judge as to whether a claim is general or vague in nature. All proposals and parts of proposals that are not marked as confidential will be automatically considered public information after the contract is awarded.  The PUC will not be liable for any costs incurred in the preparation and submittal of a proposal.  For contracts exceeding $100,000 and where one or more subcontractors will be used to perform the work under the contract, the proposer must make a good faith effort to award subcontracts to historically underutilized businesses (HUBs) of 33% of the contract. The proposer shall be presumed to have made a good faith effort in awarding subcontracts to HUBs by complying with the provisions in C of this request for proposals. Forms G and H as explained in Attachment F will be incorporated into the contract between the PUC and the selected proposer (General Services Commission rules, Chapter 111).  The proposer shall buy Texas products and materials when they are available at a comparable price and in a comparable period of time. SECTION 4: FEE SECTION 4.1 MAXIMUM FEES. The maximum fee a subscriber shall be charged to include each residential phone number on the comprehensive No Call List is $3.00 for each three-year period of time. The maximum fee a subscriber shall be charged to include each residential phone number on the Electric No Call List is $5.00 for each five-year period of time. The maximum fee a registered entity shall be charged for access to the comprehensive No Call List is $75 for each quarterly distribution. 4.2 SUBSCRIBER FEES: Proposer proposes charging the following fees: 1. To add/renew residential telephone number to comprehensive No Call List (per residential telephone number) for a period of three (3) years $___________ 2. To add/renew residential telephone number to electric only No Call List (per residential telephone number) for a period of five (5) years $___________ NOTE: Potential proposers should not propose a subscriber fee in an increment smaller than $.05 cents. For example, $2.05, $2.10, $2.15 per subscriber application would be acceptable where as $2.02, $2.19, $2.93 would not be acceptable. Bids containing proposed subscriber fees in increments of less than $.05 cents may be rejected. 4.3 TELEPHONE SOLICITORS/RETAIL ELECTRIC PROVIDERS FEE. Proposer proposes charging the following fees: RFP # 02-473-000#/Project 24376 13
  14. 14. 1. To provide registered entities quarterly access to the comprehensive No Call List. $ 2. To provide registered entities, upon their request, quarterly access to a geographic-specific No Call List. $ 4.4 FEE DURATION. These fees shall, at a minimum, remain firm for the initial contract period. 4.5 FEE CHANGE. No later than sixty (60) calendar days prior to the expiration of the then current Contract term, the Contractor may request a Fee change by providing the commission with written notice. The commission shall notify Contractor of its decision no later than thirty (30) days prior to the expiration date of the then current contract term. Any agreed upon Fee changes would take effect at the start of the next contract term. 4.6 FEES AS INCOME. Fees paid to the contractor as referenced above shall be considered as income to the contractor and subject to applicable state and federal tax laws. SECTION 5: CONDITIONS FOR SUBMISSION OF PROPOSALS Proposals submitted in response to this request must meet the following conditions to be considered for selection. Fax proposals will not be accepted under any circumstances. PROPOSALS MUST BE WRITTEN ENTIRELY ON 8½” x 11” PAPER. PROPOSALS SHOULD INCLUDE NECESSARY APPENDICES AND ATTACHMENTS. PROPOSALS SHOULD BE STAPLED IN THE TOP LEFT CORNER OR BOUND IN A 3-RING BINDER. PROPOSALS MUST BE SUBMITTED IN A MANNER THAT DOES NOT CARRY ANY BENEFIT, KEEPSAKE, OR VALUE FOR MEMBERS OF THE REVIEW PANEL. PROPOSALS MUST NOT PRESENT ANY LOGISTICAL PROBLEM FOR MEMBERS OF THE REVIEW PANEL. Proposals should include a cover page that clearly states the name of the proposer and the name, address and telephone number of the proposer’s contact person who may be contacted directly regarding the proposal. The cover page should be the first page of the proposal whether as part of the bound proposal or otherwise. Confidential information must be submitted in accordance with PUC Procedural Rule §22.71. RFP # 02-473-000#/Project 24376 14
  15. 15. SECTION 6: ANTICIPATED SCHEDULE OF ACTIVITIES Publish RFP (Texas Register/TexasMarketplace) October 12, 2001 RFP questions from proposers due to PUC October 22, 2001 Deadline for submission of proposals November 8, 2001 Staff evaluation of proposals November 12-16, 2001 Post proposal interviews if deemed necessary November 19-21, 2001 Staff Recommendation for selection November 26, 2001 Selection approved by commission or its designee after November 26, 2001 Contract negotiated/signed by December 10, 2001 Commencement of project activities December 10, 2001 Disclaimer: Dates are subject to change. Dates for the selection of a proposal may be announced earlier than the dates stated. SECTION 7: AUTHORITY This RFP is issued pursuant to the PUC’s authority under Title IV, Texas Business and Commerce Code, Chapter 43, Subchapter C, Sections 43.101 through 43.104 and Title II, Texas Utilities Code, Chapter 39, Subchapter C Section 39.1025. The commission is responsible for establishing and operating a database that lists the names, addresses, and telephone numbers of consumers in this state who object to receiving unsolicited telemarketing or telephone calls. In addition to this general list, the commission must also establish and operate a database for electric consumers who object to receiving unsolicited telemarketing or telephone calls relating to the customer’s choice of retail electric providers. The commission is authorized to enter into a contract for the operation of this database. SECTION 8: RFP AVAILABILITY This RFP will be published on the following Web sites: Public Utility Commission of Texas at www.puc.state.tx.us, the Texas Register of the Office of the Secretary of State at www.sos.state.tx.us, and the Electronic Business Daily of the Texas Department of Economic Development at www.marketplace.state.tx.us or www.esbd.tbpc.state.tx.us--a site to be established after October 1, 2001. A proposal may also be obtained by sending a written request to: Public Utility Commission of Texas P.O. Box 13326 Austin, TX 78711-3326 Patricia.Dolese@puc.state.tx.us fax (512) 936-7003 SECTION 9: QUESTIONS REGARDING THE RFP PROCESS RFP # 02-473-000#/Project 24376 15
  16. 16. Any person wishing to obtain clarifying information about this RFP must submit questions in writing on or before October 22, 2001. Questions may be submitted by mail, fax or via the PUC listserver established for this project. Questions received after October 22, 2001, will not be answered unless the PUC determines that the information requested is critical for a proper response by all potential proposers. Questions submitted by mail or fax should be directed to: Ms. Patricia Dolese Public Utility Commission of Texas William B. Travis Building 1701 N. Congress Avenue P.O. Box 13326 Austin, TX 78711-3326 Fax: (512) 936-7003 Email: patricia.dolese@puc.state.tx.us Questions of a legal nature regarding the RFP may be directed in writing to: Ms. Susan Durso, General Counsel Public Utility Commission of Texas William B. Travis Building 1701 N. Congress Avenue P.O. Box 13326 Austin, TX 78711-3326 Fax: (512) 936-7003 Email: susan.durso@puc.state.tx.us Questions may also be submitted electronically via the listserver established for Project No. 24376. To register with the No Call listserver, visit the ‘Mailing Lists’ page on the PUC’s website at http://puclist.puc.state.tx.us/Scripts/telesubscribe.asp. All written questions or comments, whether submitted by mail, fax, or electronically, should reference Project Number 24376. Answers to all written questions timely received will be posted on the PUC website under Project 24376 by October 29, 2001 or sent to those proposers who request a hardcopy of the questions answered. SECTION 10: TIMING/DEADLINE FOR SUBMISSION OF PROPOSALS The times stated in this document refer to Central Standard Time (CST) where appropriate. The applicable time deadline for proposals is 3:00 p.m., Thursday, November 8, 2001. A proposal received after this deadline will not be considered. Submit one original and six copies (seven total) of the proposal to: Central Records Project 24376 Room G-113 Public Utility Commission of Texas RFP # 02-473-000#/Project 24376 16
  17. 17. 1701 N. Congress Avenue P.O. Box 13326 Austin, TX 78711-3326 If technically capable, submit one copy of the proposal on 3.5” disk or on CD-ROM with the understanding that the disk or CD-ROM does not replace the hard copies. The CD-ROM or disk must be the same as the master hard copy. The document shall be in Microsoft Word 97. SECTION 11: ORAL PRESENTATION Certain proposers may be required to make an oral presentation of their proposal to PUC staff evaluating the responses. The commission has set aside November 19-21, 2001 for possible oral presentations by respondent(s) receiving the highest score(s) after staff evaluation. SECTION 12: RECEIPT OF PROPOSALS To be eligible to be considered for selection, proposals must be received in the PUC’s Central Records Division on or before 3:00 p.m. on Thursday, Nov. 8, 2001, as specified in this RFP. In establishing the time and date of receipt, the commission will rely solely on the time/date stamp of the Central Records. SECTION 13: METHOD OF SUBMITTAL The cover page of the proposal must be filed in Project 24376 in Central Records at the PUC. The proposal should be filed under seal attached to the cover letter in the same project. Please comply with the provisions of PUC Procedural Rule §22.71 regarding the submission of confidential information to the Commission. The proposal may be submitted by mail, hand-delivery, or private delivery service. Facsimile or and electronic submissions will not be excepted. Regardless of the method of submitting the proposal, THE PROPOSAL MUST BE RECEIVED IN THE AGENCY’S CENTRAL RECORDS DIVISION BY 3:00 P.M. (CENTRAL TIME) ON OR BEFORE THURSDAY, NOV. 8, 2001 IN ORDER TO BE CONSIDERED FOR SELECTION. Note: The PUC WILL NOT accept a U.S. Postal Service postmark and/or round validation stamp, mail receipt with the date of mailing stamped by the U.S. Postal Service, a dated shipping label, invoice or receipt from a commercial carrier, or any other documentation as proof of receipt of any proposal. Proposers are advised that the PUC assumes no responsibility, due to any circumstances, for the receipt of a proposal after the deadline time and date established in this RFP. SECTION 14: LOCATION OF THE CENTRAL RECORDS DIVISION The PUC’s Central Records Division is open to the public for filing Monday through Friday from 9:00 a.m. to 5:00 p.m., excluding holidays. Proposals will not be considered if received in the Central Records Division after 3:00 p.m. on the closing date. The Central Records Division RFP # 02-473-000#/Project 24376 17
  18. 18. is located in the basement of the William B. Travis Building, 1701 North Congress (on the northeast corner of 17th Street and North Congress Avenue, two blocks north of the State Capitol) in Room G-113, Austin, Texas 78701. The mailing address is: Central Records Division Project 24376 Room G-113 Public Utility Commission of Texas P.O. Box 13326 Austin, TX 78711-3326 SECTION 15: NUMBER OF COPIES REQUIRED An original and six copies (seven total) of the proposal must be submitted. SECTION 16: SOLE POINT OF CONTACT This RFP is issued by the commission, which is responsible for selecting the vendor to establish and maintain a statewide No Call List. The commission is the sole point of contact in the State of Texas for issues regarding this request for proposals. SECTION 17: COMPENSATION OF SELECTED PROPOSER The selected proposer shall be compensated for establishing and maintaining a statewide No Call List at the prices, terms and conditions established in its contract with the commission. Funding for this project comes from fees collected by subscribers desiring to place their residential telephone number on the No Call List, and from registered entities needing access to the telephone numbers on the No Call List. The commission will approve the fees to be charged by the contractor during the negotiation of the contract. SECTION 18: DELIVERABLES As specified in Section 2.2, within ten (10) business days of the effective date of any contract executed as a result of this RFP, the contractor shall provide the proposed toll-free telephone number and internet address for review and approval by the PUC Contract Administrator. Further, on or before December 21, 2001, the contractor shall provide mock-ups of the internet pages the contractor proposes using to the PUC Contract Administrator for review and approval. As specified in Section 2.3, within ten (10) business days of the effective date of any contract executed as a result of this RFP, the contractor shall provide a working model of the databases for testing, demonstration, and acceptance review by the commission. The databases shall be fully operational and ready for use on January 1, 2002. Additionally, as specified in Section 2.3, the contractor shall provide the commission with all reports on a timely basis. RFP # 02-473-000#/Project 24376 18
  19. 19. The contractor must be prepared to communicate regularly with and advise the PUC contract administrator and other PUC staff on the matters at issue, provide information and respond to inquiries as needed. SECTION 19: SELECTION CRITERIA The evaluation team will select a proposal based on the ability of the proposer to provide the best value to the state. In addition, the proposer's ability to carry out all of the requirements contained in this RFP, demonstrated competence and qualifications of the proposer, and the reasonableness of the proposed fees will be considered. When other considerations are equal, preference will be given to a proposer whose primary place of business is in Texas or who will manage the project wholly from its offices in Texas. The PUC shall also give a preference among proposals that are otherwise comparable, to a proposal submitted by a HUB. Following are the criteria and the total number of points of each portion of the contract that will be applied in selecting a proposer: Categories Possible Points A. Project Summary and Work Plan 30 1. Clear description of details for carrying out the project. 2. Adequacy and appropriateness of project implementation. B. Qualifications and Prior Experience 30 1. 2. Amount of proposer’s other relevant experience. 3. Qualifications of project team who will be involved in carrying out projects outlined in the RFP, including proposer and subcontractor personnel. C. Reasonableness of the proposed fees. 30 D. Use of Texas-certified HUBs 5 E. Texas office and/ or infrastructure 5 Total possible points 100 SECTION 20: REVIEW OF PROPOSALS An evaluation team will be selected by the PUC. Evaluation of proposals will begin as soon as practical after receipt. The evaluation team will individually score each proposal on the criteria stated above. The team will then meet to discuss the proposals relative to one another and will make a recommendation for selection or further action. Proposers receiving the most favorable ratings from the evaluation team may be asked to send a representative to Austin, Texas on RFP # 02-473-000#/Project 24376 19
  20. 20. November 19-21, 2001 for oral presentation and discussion of the project. Proposals may be rated again following oral presentations. Recommendations of the evaluation team will be assembled and presented to the commission or its designee who will either (1) approve the recommended selection in whole or in part, (2) disapprove the recommendation, (3) defer action on the selection for such reasons as a requirement for further evaluation or (4) approve a different action. Each proposer will be notified in writing of the final action taken on the proposal submitted. In the case of the selected proposal, contract negotiations will commence shortly after notification. SECTION 21: CONTRACT TERMS The contract that the PUC will enter into with the successful proposer will be for a defined time period and should begin on or about Dec. 10, 2001. The scope of work will cover periodic program evaluation and adjustment. The proposer and the commission will negotiate compensation for any extended work. SECTION 22: REQUIRED CERTIFICATION By accepting the terms of the Contract, as amended, Contractor will certify that: A. Contractor has not given, offered to give, 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, to an employee or officer of the PUC, SWBT or a CLEC in connection with this contract. B. Contractor is not currently delinquent in the payment of any franchise tax owed the State of Texas in accordance with Article 2.45 of the Texas Business Corporation Act. . C. Under Section 231.006, Family Code, no individual or business entity named in this contract is ineligible to receive the specified grant, loan, or payment and acknowledges that this contract may be terminated and payment may be withheld if this certification is inaccurate. D. Neither contractor nor anyone representing contractor in this transaction has violated the antitrust laws of this State, codified in Section 15.01, et seq., of the Texas Business and Commerce Code or the Federal Antitrust Laws, nor communicated directly or indirectly to any competitor or any other person engaged in such line of business for the purpose of obtaining an unfair price advantage, for the purposes of this transaction. E. Contractor has not received compensation from Commission, or any agent, employee, or person acting on Commission's behalf for participation in the preparation of this contract. RFP # 02-473-000#/Project 24376 20
  21. 21. F. Contractor will comply with all federal, state, and municipal laws and regulations relating to discrimination against employees or applicants for employment based on race, creed, sex, color, religion, or national origin, including but not limited to the Federal and State of Texas regulations. RFP # 02-473-000#/Project 24376 21
  22. 22. ATTACHMENT A HISTORICALLY UNDERUTILIZED BUSINESSES (HUBs) A. Historically underutilized businesses (HUBs) as defined in V.T.C.A., Texas Government Code, Section 2161.001 (see Attachment B) are encouraged to submit a proposal for the services requested in this RFP. The PUC may choose to subcontract any portion or all of the services to historically underutilized businesses. As indicated in Section 5 of this RFP, the proposer must indicate in the proposal whether it is a certified HUB and must specify in the proposal if any portion or all of the services will be subcontracted. Also, indicate the percentage of the total contract award that will be subcontracted and the percentage to be subcontracted to historically underutilized businesses. (Use Attachment C, Identification of Proposer as a HUB and Proposed Subcontracts, to provide this information.) Refer to Section 15 and to Attachment A in this RFP for additional requirements pertaining to contracts greater than $100,000. B. Proposers that are certified as a HUB with the General Services Commission must attach a copy of the certificate to the proposal. Proposers that are not certified and who wish to become certified should call the General Services Commission Business Services division at (512) 463-5872 or write GSC (HUB), P. O. Box 13047, Austin, TX 78711-3047 to learn about the requirements for certification. The proposer should also relay this information to any potential subcontractors who wish to become a certified HUB. C. As specified in Section 15 of this RFP, for proposals exceeding $100,000 and where one or more subcontractors will be used to perform the work under the contract, the proposer must demonstrate a good faith effort in subcontracting with HUBs. Refer to Attachment C of this RFP for provisions and requirements that must be completed prior to submitting a proposal. Attachment C contains a checklist that must be completed and submitted to PUCT. RFP # 02-473-000#/Project 24376 22
  23. 23. ATTACHMENT B Definition HISTORICALLY UNDERUTILIZED BUSINESS (HUB) (As defined in V.T.C.A., Texas Government Code, Section 2161.001, amended 1999) “(2) ‘Historically underutilized business’ means: (A) a corporation formed for the purpose of making a profit in which 51 percent or more of all classes of the shares of stock or equitable securities are owned by one or more economically disadvantaged persons who have a proportionate interest and actively participate in the corporation’s control, operation, and management; (B) a sole proprietorship created for the purpose of making a profit that is completely owned, operated, and controlled by a economically disadvantaged person; (C) a partnership formed for the purpose of making a profit in which 51 percent or more of the assets and interest in the partnership are owned by one or more economically disadvantaged persons who have a proportionate interest and actively participate in the partnership’s control, operation, and management; (D) a joint venture in which each entity in the venture is a historically underutilized business, as determined under another paragraph of this subdivision; or (E) supplier contract between a historically underutilized business as determined under another paragraph of this subdivision and a prime proposer under which the historically underutilized business is directly involved in the manufacture or distribution of the goods or otherwise warehouses and ships the goods. (3) ‘Economically disadvantaged person’ means a person who is economically disadvantaged because of the person’s identification as a member of a certain group, including Black Americans, Hispanic Americans, women, Asian Pacific Americans, and Native Americans, and who has suffered the effects of discriminatory practices or other similar insidious circumstances over which the person has no control.” RFP # 02-473-000#/Project 24376 23
  24. 24. ATTACHMENT C Page 1 HUB SUBCONTRACTING PLAN DETERMINATION OF GOOD FAITH EFFORT (DGFE), PART 1, PAGE 1 NOTE: The contracting agency will review the supporting documentation submitted by the potential contractor/vendor to determine if a good faith effort was made in accordance with applicable 1 TAC rules and the contract specifications. If it is determined that a good faith effort was not made, the bid or other response shall be rejected as a material failure to comply with advertised specifications. The reasons for rejection will be recorded in the project file. The selected proposer is required to complete this checklist and submit to the PUCT within 5 days of selection but prior to the award of the contract. The selected proposer must submit with this checklist supporting documentation explaining in what ways the proposer has made a good faith effort according to each requirement stated below. The contract will not be awarded until the PUCT has received these documents. Contractor/Vendor Name: Vendor Identification Number: Address: Phone:____-____- _____ Bid Number: Contract Amount: In determining whether a good faith effort has been made in development of the HUB Subcontracting Plan, a state agency shall require the potential contractor/vendor to submit supporting documentation explaining in what ways the potential contractor/vendor has made a good faith effort. Please answer the questions below. Provide necessary documentation to support your answers. Use continuation sheets as required. Did your company divide the contract work into reasonable portions in accordance with prudent industry practices? Did your company send notices containing adequate information about bonding, insurance, the plans, the specifications, scope of work, and other requirements of the contract to three or more qualified HUBs allowing reasonable time for HUBs to participate effectively (include Determination of Good Faith Effort, Part II--Attachment C, pp.3-5)? Did your company negotiate in good faith with qualified HUBs, not rejecting qualified HUBs who were the best value responsive proposer? RFP # 02-473-000#/Project 24376 24
  25. 25. Attachment C Page 2 HUB SUBCONTRACTING PLAN DETERMINATION OF GOOD FAITH EFFORT (DGFE), PART 1, PAGE 2 (This form must be completed and submitted as part of the HUB Subcontracting Plan) Contractor/Vendor Name: BID Number Did your company document reasons for rejection or meet with rejected HUBs to discuss the rejection? Did your company advertise in general circulation, trade association, and minority/women focus media concerning subcontracting opportunities? Did your company assist non-certified HUBs to become certified? Proposers are encouraged to use the services of available minority and women; community organizations proposer groups; local, state, and federal business assistance offices, and other organizations that provide support services to HUBs. I, the undersigned official of the contracting entity, do hereby attest that the proposer has made a good faith effort in subcontracting with HUBs as described above and in the attached supporting documentation. Signature of Authorized Official Date Name of Contracting Entity The PUCT shall review the checklist and attached documentation submitted by the proposer and issue a written notice of acceptance or deficiency of a good faith effort within fourteen days of the agency’s receipt. The notice of deficiency will state the reasons for deficiency. RFP # 02-473-000#/Project 24376 25
  26. 26. Attachment C Page 3 HUB SUBCONTRACTING PLAN SOLICITATION (HUB-S) DETERMINATION OF GOOD FAITH EFFORT (DGFE), PART 2, PAGE 1 (This form must be completed and submitted as part of the HUB Subcontracting Plan for Determination of Good Faith Effort) Contractor/Vendor Name:____________________________ Vendor Identification Number: ____________ Address: ____________________________________________________________________________ Phone: ____-____-______ Bid Number: _____________ Contact Name: __________________________ Are you certified as a Texas HUB? ___Yes ___No; If Yes, please provide your GSC VID/Certificate Number above. Specific Subcontract Solicited: ____________________________________________________________ Contractor's Estimate of Approximate Dollar Value of Subcontract Advertised: ______________________ * Identify each HUB to which a notice of solicitation was given. Attach a copy of each solicitation letter. 1. Name of HUB Subcontractor/Supplier: ___________________________________________________________ Address: __________________________________________________________________________________ Phone:_____-_____- ______ Owner(s): ____________________________________________________ If GSC certified, enter Vendor Identification Number: _______________ If not GSC certified, please complete the following information:  Black American  Male  Female  Native American  Male  Female  Woman  Hispanic American  Male  Female  Asian Pacific American  Male  Female Date certification packet delivered to HUB subcontractor _________________ RFP # 02-473-000#/Project 24376 26
  27. 27. Attachment C Page 4 2. Name of HUB Subcontractor/Supplier: ___________________________________________________________ Address: __________________________________________________________________________________ Phone:_____-_____- ______ Owner(s): ____________________________________________________ If GSC certified, enter Vendor Identification Number: _______________ If not GSC certified, please complete the following information:  Black American  Male  Female  Native American  Male  Female  Woman  Hispanic American  Male  Female  Asian Pacific American  Male  Female Date certification packet delivered to HUB subcontractor _________________ 3. Name of HUB Subcontractor/Supplier: ___________________________________________________________ Address: __________________________________________________________________________________ Phone:_____-_____- ______ Owner(s): ____________________________________________________ If GSC certified, enter Vendor Identification Number: _______________ If not GSC certified, please complete the following information:  Black American  Male  Female  Native American  Male  Female  Woman  Hispanic American  Male  Female  Asian Pacific American  Male  Female Date certification packet delivered to HUB subcontractor _________________ 4. Name of HUB Subcontractor/Supplier: ___________________________________________________________ Address: __________________________________________________________________________________ Phone:_____-_____- ______ Owner(s): ____________________________________________________ If GSC certified, enter Vendor Identification Number: _______________ If not GSC certified, please complete the following information:  Black American  Male  Female  Native American  Male  Female  Woman  Hispanic American  Male  Female  Asian Pacific American  Male  Female Date certification packet delivered to HUB subcontractor _________________ 5. Name of HUB Subcontractor/Supplier: ___________________________________________________________ Address: __________________________________________________________________________________ Phone:_____-_____- ______ Owner(s): ____________________________________________________ RFP # 02-473-000#/Project 24376 27
  28. 28. Attachment C Page 5 If GSC certified, enter Vendor Identification Number: _______________ If not GSC certified, please complete the following information:  Black American  Male  Female  Native American  Male  Female  Woman  Hispanic American  Male  Female  Asian Pacific American  Male  Female Date certification packet delivered to HUB subcontractor _________________ 6. Name of HUB Subcontractor/Supplier: ___________________________________________________________ Address: __________________________________________________________________________________ Phone:_____-_____- ______ Owner(s): ____________________________________________________ If GSC certified, enter Vendor Identification Number: _______________ If not GSC certified, please complete the following information:  Black American  Male  Female  Native American  Male  Female  Woman  Hispanic American  Male  Female  Asian Pacific American  Male  Female Date certification packet delivered to HUB subcontractor _________________ 7. Name of HUB Subcontractor/Supplier: ___________________________________________________________ Address: __________________________________________________________________________________ Phone:_____-_____- ______ Owner(s): ____________________________________________________ If GSC certified, enter Vendor Identification Number: _______________ If not GSC certified, please complete the following information:  Black American  Male  Female  Native American  Male  Female  Woman  Hispanic American  Male  Female  Asian Pacific American  Male  Female Date certification packet delivered to HUB subcontractor _________________ 8. Name of HUB Subcontractor/Supplier: ___________________________________________________________ Address: __________________________________________________________________________________ Phone:_____-_____- ______ Owner(s): ____________________________________________________ If GSC certified, enter Vendor Identification Number: _______________ If not GSC certified, please complete the following information:  Black American  Male  Female  Native American  Male  Female  Woman  Hispanic American  Male  Female  Asian Pacific American  Male  Female Date certification packet delivered to HUB subcontractor _________________ Attach other pages if needed. RFP # 02-473-000#/Project 24376 28
  29. 29. ATTACHMENT D HUB SUBCONTRACTING PLAN STATEMENT OF INTENT (SOI) (Must be completed and submitted when the contractor/vendor plans to complete all work with its employees and resources.) If the potential contractor/vendor can perform the subcontracting opportunities identified by PUC, with its employees and resources, the HUB Subcontracting Plan must express the potential contractor/vendor's intent to complete the work with its employees and resources. The potential contractor/vendor must attest to this fact by completion of the Statement of Intent below. ------------------------------------------------------------------------------------------------------------------------------- By completing the following Statement of Intent, the potential contractor’s/vendor’s HUB Subcontracting Plan may be considered responsive, qualified and/or valid: STATEMENT OF INTENT: I ___________________, an authorized representative of contractor/vendor) have reviewed the purchase solicitations, and have determined that the entire work of the contract will be completed with contractor/vendor) own employees and internal resources without subcontracting any portion of the contract. I hereby agree to act in good faith and understand that if my company is awarded the contract, that as a provision of this contract, I agree to complete all subcontracting opportunities, identified by the agency, with my company’s resources and to report information to PUC regarding my performance of the contract as specified. If circumstances necessitate the use of any subcontractors, I agree to seek the timely authorization by the contracting agency and adhere to the provisions of 1 TAC, Section 111.14 (relating to the submission of HUB Subcontracting Plan documents). I also agree and understand that if I fail to comply with this Statement of Intent, I will be in breach of the performance of the contract. ____________________________ _____ Printed Name of Contractor/Vendor Signature of Contractor/Vendor Date: If the selected contractor/vendor decides to subcontract any part of the contract after the award, as a provision of the contract, the contractor/vendor must seek authorization and comply with provisions of 1 TAC, Section 111.14, prior to any modifications or performance in the awarded contract involving subcontracting. If the contractor/vendor subcontracts any of the work without prior authorization and without complying with contract specifications or HUB Subcontracting Plan, the contractor/vendor is deemed to have breached the contract. The contractor/vendor also is subjected to any other remedial actions provided by Chapter 2161 of the Texas Government Code and 1 TAC, Section 111.14. The Public Utility Commission also may report non-performance to the GSC in accordance with the GSC’s vendor Performance and Debarment Program. RFP # 02-473-000#/Project 24376 29
  30. 30. ATTACHMENT E LETTER OF INTENT (HUB-LOI) (HUB-LOI IS USED BY POTENTIAL CONTRACTOR/VENDOR TO IDENTIFY SUBCONTRACTORS SELECTED FOR WORK ON THE CONTRACT) Proposer:________________________ Vendor Identification Number:________________ ________ Address:______________________________________________________________________ Phone:____-____- _____ Bid Number:______________ Contract Amount:___________________ Description of commodities/specifications: ____________________________________________ Duration of Contract:_____________________________________________________________ Name of Subcontractor/Supplier:____________________________________________________ Address:______________________________________________________________________ Phone: _____-_____- ______ Is the subcontractor a certified HUB? ______ Yes ______ No If yes, enter the GSC Certificate (VID) number: _______________________ Dollar amount of contract with subcontractor/supplier: $______________ Percentage amount of contract with subcontractor/supplier: % ______________ Description of materials/services performed under agreement with the subcontractor for amount indicated above: _____________________________________________________________________________ _ _____________________________________________________________________________ _ _____________________________________________________________________________ _ RFP # 02-473-000#/Project 24376 30
  31. 31. PLEASE SUBMIT A SEPARATE FORM FOR EACH SUBCONTRACTOR/SUPPLIER. RFP # 02-473-000#/Project 24376 31
  32. 32. ATTACHMENT F PUBLIC UTILITY COMMISSION'S HUB SUBCONTRACTING PLAN GOOD FAITH EFFORT COMPLIANCE On a monthly basis a contractor/vendor to whom the PUC has awarded a contract to shall report to the commission the identity and amount paid to each historically underutilized business to whom the contractor/vendor has awarded a subcontract for the purchase of supplies, materials and equipment, provided that payment was made to a historically underutilized business in the month to be reported. After an award is made, the contractor/vendor will provide the following documents to the Public Utility Commission: (1) Historically Underutilized Business Progress Assessment Report (HUB-PAR), documentation of work subcontracted with HUBs and Non-HUBs in accordance with the HUB Subcontracting Plan. Identify HUBs by indicating Yes or No and include the GSC Certificate VID number. (2) No subcontracting Progress Affidavit (NON-SUB-AFF) affirms that NO subcontractors have been used on the contract in accordance with the HUB Subcontracting Plan. If contractors have been used, the contractor/vendor should identify all subcontractors used in the contract. Copies of these documents follow. RFP # 02-473-000#/Project 24376 32
  33. 33. ATTACHMENT G PRIME CONTRACTOR PROGRESS ASSESSMENT REPORT (NON-HUB-PAR) DOCUMENTATION OF WORK SUBCONTRACTED WITH HUBs Date of Award________Contract/Requisition Number__________ Object Code (agency use): _____ Contractor Name ______________________________________________________________ Contractor Vendor Identification Number (VID Number)_________________________________ Total Contract Amount Paid this Period to Contractor__________________________________ Document HUB/and NON-HUB Subcontractor Information, as applicable below: Subcontractor/Supplier VID or GSC HUB Total Contract $ Total $ Total Contract Object Name(s) Certificate Certified Amount from Amount $ Amount Paid Code Number for YES/N0 Letter of Intent Paid This to Date to (agency Subcontractor with Period to Subcontractor use Subcontractor Subcontract only) or TOTAL $ $ $ REPORTED Form to be reported monthly or quarterly according to the dates below to the PUCT contract administrator. Please identify the month or quarter being reported: Signature: _________________________ Title: ______________________________ Date: __________________________ Month or Quarter Included Deadline Identify Month/Quarter 1st (Sep., Oct., Nov.) 2nd (Dec., Jan., Feb.) 3rd (Mar., Apr., May) 4th (Jun., Jul., Aug.) RFP # 02-473-000#/Project 24376 33
  34. 34. ATTACHMENT H HUB SUBCONTRACTING PLAN Non-Subcontractors Affidavit (NON-SUB-AFF) (Document completed as a provision of the contract after the contract has been awarded to be compliant with the HUB Subcontracting Plan) In accordance with the HUB Subcontracting Plan, I ___________________, an authorized representative of _________________ company certify that during this reporting period, NO subcontractors have been used on this contract. _________________________________ ________________________________ Printed Name of Contractor/Vendor Signature of Contractor/Vendor ----------------------------------------------------------------------------------------------------- Subscribed and sworn before me, the undersigned notary public, on this ____ day of ____, (yr.) ______. (Notary Public Seal) Notary Public: _____________________________________ My commission expires: _____________________________ RFP # 02-473-000#/Project 24376 RFP # 02-473-000#/Project 24376 34
  35. 35. ATTACHMENT I RELEVANT STATUTES and PUC RULES PURA SECTION 39.1025 Sec. 39.1025 LIMITATIONS ON TELEPHONE SOLICITATION. (a) A person may not make or cause to be made a telephone solicitation to an electricity customer who has given notice to the commission of the customer’s objection to receiving telephone solicitations relating to the customer’s choice of retail electric providers. (b) The commission shall establish and provide for the operation of a database to compile a list of customers who object to receiving telephone solicitations. The commission may operate the database or contract with another entity to operate the database. (c) A customer shall pay a fee of not more than $5 for inclusion in the database. The commission shall prescribe the amount of the fee. BUSINESS AND COMMERCE CODE, SUBCHAPTER C Sec. 43.101. COMMISSION TO ESTABLISH TEXAS NO-CALL LISTS. (a) The commission shall establish and provide for the operation of a database to compile a list of names, addresses, and telephone numbers of consumers in this state who object to receiving unsolicited telemarketing or telephone calls. (b) The commission may contract with a private vendor to maintain the Texas no-call list if: (1) the private vendor has maintained a national no-call list database for more than two years containing the names, addresses, and telephone numbers of consumers in this state who have previously requested to be added to the vendor's national no-call list; and (2) the contract requires the vendor to publish the Texas portion of the national no-call list in an electronic format to any telemarketer who agrees to use the Texas no-call list only for the purposes of updating the no-call list of that telemarketer by including in its list persons with whom the telemarketer does not have an established business relationship. (c) The Texas no-call list must contain the name, address, and telephone numbers of each consumer in this state who has requested to be on that list. The Texas no-call list shall be updated and published on January 1, April 1, July 1, and October 8 of each year. An entry on the Texas no-call list expires on the third anniversary of the date the entry is first published on the list. An entry may be renewed for successive three-year periods. The telephone number of the consumer on the Texas no-call list may be deleted from the list on the consumer's written request or if the telephone number of the consumer is changed. The commission may charge a person a reasonable amount not to exceed $3 for a request to place a telephone number on the Texas no-call list established by the commission or to renew an entry on the list. The commission shall develop and make available a form to be used by customers to request to be on the Texas no-call list and shall provide a toll-free telephone number and Internet mail address that persons may call RFP # 02-473-000#/Project 24376 35
  36. 36. or write to obtain a copy of the form. A private for-profit publisher of a residential telephone directory that is distributed to the public at minimal or no cost shall include in the directory a prominently displayed toll-free number and Internet mail address established by the commission through which a person may order a copy of the form. Sec. 43.102. TELEMARKETING OF PERSONS ON TEXAS NO-CALL LIST; ENFORCEMENT; PENALTIES. (a) A telemarketer may not make a telemarketing call to a telephone number that has been published on the Texas no-call list more than 60 days after the telephone number appears on the then-current list. (b) Except as provided by Subsection (d), the commission shall receive and investigate complaints concerning violations of this subchapter and may assess an administrative penalty not to exceed $1,000 for each violation. If the complaint alleges that the person violating this subchapter is a telecommunications provider, as defined by Section 51.002, Utilities Code, the commission has exclusive jurisdiction, notwithstanding Subsection (c), over the violation alleged in the complaint, except that this does not affect the right of a consumer to bring an action under Subsection (f). (c) Except as provided in Subsection (d), the attorney general may investigate violations of this subchapter and file civil enforcement actions seeking injunctive relief, attorney's fees, and civil penalties in an amount not to exceed $1,000 for each violation. If the court finds the defendant willfully or knowingly violated this subchapter, the court may increase the amount of the civil penalties to an amount not to exceed $3,000 for each violation. A violation of this subchapter is subject to enforcement action by the attorney general's consumer protection division under Sections 17.47, 17.58, 17.60, and 17.61. (d) A state agency that issues a license to a state licensee shall receive and investigate complaints concerning violations of this subchapter by the state licensee, may assess an administrative penalty not to exceed $1,000 for each violation, and may order restitution of any monetary damages of the complainant. In addition, if the agency finds that the licensee willfully or knowingly violated this subchapter, the agency may suspend or revoke the state licensee's license. (e) Venue for an action based on a violation of this subchapter is in the county where the telemarketing call was made or received, or if brought by the attorney general, commission, or a state agency, in Travis County. (f) For purposes of this subchapter, a consumer on the Texas no-call list is presumed to be adversely affected by a telemarketer who calls the consumer more than once and may bring a civil action based on the second or a subsequent violation of this subchapter if: (1) the consumer has notified the telemarketer of the alleged violation and not later than the 30th day after the date of the call files a verified complaint setting forth the relevant facts surrounding the violation with the commission, the attorney general, or a state agency that licenses the person making the call; and (2) the commission, attorney general, or state agency receiving the complaint fails to initiate an administrative action or a civil enforcement action, as appropriate, against the telemarketer named in the complaint before the 121st day after the date the complaint is filed. RFP # 02-473-000#/Project 24376 36
  37. 37. (g) If the consumer brings an action based on violation of this section and the court finds that the defendant willfully or knowingly violated this section, the court may award damages in an amount not to exceed $500 for each violation. Sec. 43.103. RULES; CUSTOMER INFORMATION; ISOLATED VIOLATION. (a) The commission may adopt rules to administer this subchapter. The commission shall adopt rules: (1) requiring each local exchange telephone company to inform its customers of the requirements of this subchapter by annual inserts in billing statements mailed to customers or conspicuous publication of the notice in the consumer information pages of local telephone directories or other appropriate notice to consumers; (2) providing that a telemarketing call made to a number on the Texas no-call list is not a violation of Section 43.102 if the telemarketing call is an isolated occurrence made by a person who has in place adequate procedures to comply with this subchapter; and (3) providing for: (A) the dissemination of the Texas no-call lists in formats, including electronic formats, commonly used by persons making telemarketing calls; and (B) a fee for each such distribution not to exceed $75. (b) In addition to requiring the notice under Subsection (a)(1), the commission may conduct educational programs designed to inform the public of their rights and telemarketers of their obligations under this subchapter. PUC SUBSTANTIVE RULE - § 25.484 Do Not Call List (a) The commission or its designated agent will maintain or cause to be maintained a “Do Not Call List” of customers who do not want to receive telemarketing calls from retail electric providers (REPs). The commission will provide customers with a variety of methods to be included on the list, including orally, in writing, and commercially acceptable electronic communication such as fax and email. A customer shall remain on the “Do Not Call List” for five years or until the customer affirmatively requests to be removed from the list, whichever occurs sooner. (b) Prohibition. A REP is prohibited from telemarketing to customers whose names are on the “Do Not Call List.” A REP shall be in compliance with this provision if the REP obtains the most recent version of the list on at least a quarterly basis and removes the names of customers who are on the “Do Not Call List” from its telemarketing lists within five calendar days. (c) Notice. A REP shall include notice of the existence of the “Do Not Call List” in the Your Rights as a Customer disclosure or Terms of Service document. The notice shall explain what the “Do Not Call List” is, the fee for placement on the list, and how a customer can request that he or she be added to or removed from that list by contacting the commission or the commission’s agent for implementation of the list. RFP # 02-473-000#/Project 24376 37

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