rfp number: rfp1-0006 perkins loan management …purchasing.tamucc.edu/assets/rfp.pdfperkins loan...

TEXAS A&M UNIVERSITY-CORPUS CHRISTI PURCHASING DEPARTMENT

6300 OCEAN DRIVE CORPUS CHRISTI, TX 78412

REQUEST FOR PROPOSAL

RFP Number: RFP1-0006

Perkins Loan Management CLASS 946-33

PROPOSAL MUST BE RECEIVED BEFORE:

2:00 p.m. Central Time on June 09, 2011

MAIL PROPOSAL TO:

Texas A&M University-Corpus Christi Purchasing Department

6300 Ocean Drive Unit 5731 Corpus Christi TX 78412-5731

HAND DELIVER AND/OR EXPRESS MAIL TO:

Texas A&M University-Corpus Christi

Purchasing Building 6300 Ocean Drive Room 115A

Corpus Christi TX 78412

Show RFP Number, Opening Date and Time on Return Envelope

NOTE: PROPOSAL must be time stamped at Texas A&M University-Corpus Christi Purchasing Department before the hour and date specified for receipt of proposal.

Pursuant to the Provisions of Texas Government Code Title 10 Subtitle D Chapter 2156.121 - 2156.127, General Services Act rules and regulations adopted there under, sealed proposals will be received until the date and time established for receipt. After receipt, only the names of proposers will be made public. Prices and other proposal details will only be divulged after the award, if one is made.

DATED: May 16, 2011

REFER INQUIRIES TO:

Judy Harral, CPPO, CTPM Executive Director of Administrative Services

Texas A&M University-Corpus Christi Purchasing Department

361-825-5936 Email: [email protected]

Texas A&M University-Corpus Christi RFP 1-0007 Perkins Loan Management of 50

Table of Contents

SECTION 1. General 3

SECTION 2. Statement of Work/Qualifications 4

SECTION 3. Proposal Information 6

SECTION 4. General Terms and Conditions 11

SECTION 5. Execution of Proposal 20

SECTION 6. Pricing and Delivery Schedule 21

SECTION 7. Respondent’s Questionnaire 22

SECTION 8. References 23

EXHIBIT A HUB Subcontracting Plan 24

EXHIBIT B Performance Bond 52


SECTION I

GENERAL

1.1 SCOPE.

General Information about this RFP

Texas A&M University-Corpus Christi (TAMUCC) invites proposals from qualified vendors to establish a contract through competitive negotiations for student loan billing services. TAMUCC is seeking conversion, billing, accounting, and due diligence support for its Federal Perkins (NDSL), Health Professions, Nursing, and University Funded Loans. This RFP is issued by Texas A&M University-Corpus Christi and any participating Texas A&M University System (TAMUS) members. Any resulting contracts will be by and between the individual TAMUS member and the awarded vendor. However, it is the intent of The TAMUS to aggregate the total System volume to the extent possible. Currently, Texas A&M – Kingsville (TAMUK) will participate in the review and evaluation process of this RFP. The resulting award, terms and conditions offered in this proposal shall be extended to Texas A&M University System Members (A&M System). Anywhere the word TAMUS, System, University, Institution, or Agency is used; it should be considered to be applicable to both the entire body of the Texas A&M University System and/or to the individual component members as may be applicable in the instance under consideration.

Current System Environment

It is the intent of TAMUCC and TAMUK to customize their use of the student loan billing services to the needs of their particular campus. Below is the schedule showing the currents student loan billing services. Texas A&M University System Participating Components

Vendor/Method Used Term TAMU-Kingsville In House Texas A&M University-Corpus Christi Campus Partners 08/31/2011

TAMUCC and TAMUK are agencies of the State of Texas

Institution Name # of Loans Avg. Loans Per Year** Texas A&M University – Corpus Christi

2,269 70

Texas A&M University-Kingsville 531 88 Total

**Based on 5 years


1.2 CONTRACT TERM. The services requested shall be provided for a period of one (1) year,

beginning September 1, 2011, or the last signature date, whichever is later, and ending August 31, 2012. This contract may be renewed for up to four (4) additional one (1) year periods upon mutual agreement of the parties to be evidenced in writing prior to the expiration date of the initial term.

1.4 DEFINITIONS. For purposes of this RFP, the following definitions apply:

(a) Acceptable Quality Level - The level of performance of requested services below which the contract will not be paid or damages may be assessed;

(b) Addendum - A modification of the specifications issued by TAMU-CC and distributed to prospective Respondents prior to the opening of bids;

(c) Best and Final Offer (“BAFO”)- A formal request made to selected Respondents for revisions to the originally submitted Proposal;

(d) Contract – The contract awarded as a result of this RFP and all exhibits thereto., This RFP, any Addendum issued in conjunction with this RFP, the successful Respondent’s Proposal, any BAFO, and subsequent submission by Respondent, shall all be fully incorporated therein as exhibits; and

(e) Contractor – Respondent whose Proposal results in a contract with TAMU-CC. (f) GLBA: Gramm-Leach-Bliley Act (g) FDCPA: Fair Debt Collection Practices Act (h) TAMUS: Texas A&M University System

1.5 HUB Subcontracting Plan (HSP) It is the policy of the State of Texas, Texas Procurement and Support Services (TPASS) and Texas A&M University-Corpus Christi to encourage the use of Historically Underutilized Businesses (HUBs) in our prime contracts, subcontract and purchasing transactions. TAMU-CC initiatives through the Purchasing Department are to assist our prime contractors and core company/agents to achieve these ends through race, ethnic and gender-neutral means. The goal of the HUB Advocacy Program (HUBAP) is to promote full and equal business opportunity for all businesses in contracting and purchasing.

1.6 USE BY OTHER INSTITUTIONS OF HIGHER EDUCATION IN THE STATE OF TEXAS: Products and services awarded as a result of this solicitation may be extended to other Institutions of Higher Educations as defined by Section 61.0003 Educations Code, Government Code Section 2155.134. Other individual institutions may or may not elect to use this agreement.


SECTION II

STATEMENT OF WORK

2.1 Service Requirements. Services shall include, but are not limited to, the requirements contained in this RFP. Services set forth that contain the words “must” or “shall” are

mandatory and must be provided as specified with no alteration, modification, or exception. Services set forth that contain the words “may” or “can” allow Respondents to offer alternatives to the manner in which the services are provided. The requested services and corresponding deliverables are as follows:

The contractor shall furnish all labor, equipment and supplies necessary to provide the billing services as follows:

A. General

1. The contractor shall state its experience in providing the services described herein, including a short resume of the personnel involved in the performance of this contract.

2. The contractor shall provide a description of its services and sample of all bills,

notices and reports offered in this proposal.

3. The contractor shall provide evidence of its affiliation with professional organizations. Contractor shall also have on staff a government relations specialist to assist clients with regulatory questions.

4. All phases of the service shall be in full compliance with regulations and guidelines

established by the Department of Education and Department of Health and Human Services. Contractor shall comply with the Fair Debt Collection Practice Act (P.L. 95-109) and applicable federal and state regulations.

5. Contractor shall perform account maintenance, billing, cash collection and

reporting on a regular basis.

6. Contractor shall provide to the U.S. Department of Education the information required for the National Student Loan Data System.

7. Contractor should have the capability of accepting and interpreting electronic files

provided by the University. The University and the Contractor shall mutually agree on the format and the specific information to be included in each file.

8. Contractor shall provide to the University an independent audit report annually.

Annual audits shall be conducted in accordance with generally accepted auditing standards and applicable federal results and regulations.

9. Contractor shall provide data loss prevention procedures and disaster recovery

plans.


B. Billing Services

1. The Contractor will provide automatic movement of an account from enrolled to a grace period status.

2. Contractor will provide exit interview materials/repayment schedules with the

option to print disclosures on-line on-site.

3. Contractor will provide optional billing cycles including annual, semiannual, quarterly, bi-monthly and monthly billings.

4. Contractor will have the ability to generate consolidated statements for borrowers

with multiple types of loans, with a complete summary of each loan and cumulative total. The ability to provide special messages on the statements is required. Please indicate the numbers of text lines available and the number of characters for each.

5. Contractor must have the ability to provide borrowers with coupon payment books,

electronic debiting of bank account, and regular billing statements.

6. Contractor must be able to process payments of borrowers who opt to pay in advance. Borrower may elect to pay next installment in advance, with current installment, or make an additional payment to be applied to loan principal. An advance payment of the next installment should be applied to the loan and the payment due date can be set in the future, which allows for borrower to pay less interest.

7. Contractor shall provide contacts with the borrowers during the grace period based

on applicable regulations.

8. Contractor shall provide toll free telephone numbers to both the school and the borrowers. Toll free numbers are to be displayed on billing statements, due diligence notices and all other borrower correspondence.

9. The contractor's system shall have the ability to accept at least three (3) addresses

and telephone numbers for the borrower. The contractor shall have the ability to store reference addresses and to provide the option of exclusive billing addresses. Reference addresses should be readily accessible in an “address screen” and not as a comment added to a “notes or history” screen.

10. Contractor shall use the U.S. Postal Services "Address Correction Requested." A

regular (monthly) electronic interface should be developed with the postal service to receive electronic updates of address information. The contractor’s system should automatically include the “plus four” digits for all domestic zip code addresses.

11. Contractor must process all deferment and cancellation forms in a timely manner.

12. After processing, contractor shall forward all deferment and cancellation forms as

well as all correspondence with University borrowers to the University on a regular basis.


13. Contractor must send out all past due notices in compliance with Federal

Regulations.

14. Contractor must be able to accommodate special payment arrangements with borrowers, including arrangements made in accordance with rehabilitation provisions.

15. Contractor must inform borrowers of the availability of the Department of

Education’s Student Loan Ombudsman’s office. 16. Contractor must state performance standards for borrower services including

telephone answer rates, correspondence and forms processing.

17. Contractor must state its ability to produce IRS form 1098E for borrowers that meet the requirements of the Taxpayer Relief Act of 1997. In addition, proper reporting to the IRS must also occur.

18. Contractor must be in compliance with the Gramm-Leach-Bliley Act (GLBA).

19. Contractor must be in compliance with the Fair Debt Collection Practices Act (FDCPA).

C. Cash Collection Services

1. Funds received from borrowers must be transferred daily to a bank account selected by the University, using the Automated Clearinghouse (ACH). All interest accrued shall be the property of the University.

2. University must have the ability to use a local bank account to receive daily deposit

of funds.

3. Contractor should add returned check fees to the costs billed to the borrowers with corresponding charges added to the University’s bill for services rendered by the contractor. Contractor's system should allow the University to increase the fee charged to borrowers to cover its own administrative expenses for obtaining payment from the borrower.

4. Contractor shall have the ability to automatically prorate borrower payments across

multiple programs and loan types.

5. Contractor shall have the ability to apply payments to collection costs, penalty and late fees before applying to interest and principal.

6. Contractor shall discuss its payment processing including payment application and

lockbox processing. D. On-Line Services Contractor must provide an on-line, real-time system allowing the University access to

perform most transactions. The following inquiry and updating capabilities are


required:

1. Access by social security number and by partial name. Comment on your ability to search utilizing a borrower’s previous name.

2. A complete history of the activity of each account in chronological order. 3. A hierarchy of security. 4. System availability between the hours of 8:00 a.m. and 7:00 p.m. local time. 5. Ability to transmit the following types of updates on-line:

a. New loans/loan advances b. Separation Date Changes c. Name/address/social security number changes d. Repayment schedule requests e. General file maintenance f. Payment posting g. Renegotiated payment arrangements/forbearance h. NSLDS updates

6. The system must automatically reprocess prior activity on the account when posting backdated data without any necessity for manual review or calculations to determine which data elements would need to be changed by backdated processing. The Contractor's system should also review all transactions on the loan to ensure that the backdated change does not adversely affect the loan in terms of its audit trail and compliance. The contractor must be able to demonstrate on-line its ability to perform these services.

7. The system must maintain the image of the loan at the time of conversion to allow

transactions to be processed on activity prior to conversion.

8. All reports shall be available for viewing on-line immediately following the week-end and/or month-end. All reports must be available on-line for two years.

9. The Contractor shall allow on-line access for Collection Agencies contracting with

the University to ensure access to the most current loan data. E. Special Requirements

1. The system shall have the capability to interface with collection agencies, i.e. advise agencies of new placements on a weekly basis and of payments received by the contractor on collection accounts. This interface shall include reporting of agency success rates.

2. Contractor shall provide the University with the option to assess collection costs,

late charges or penalty charges automatically or manually.

3. The contractor's system shall have the ability to identify loans placed with collection agencies or internal collectors.


4. Contractor shall provide to the University all available records and files pertaining

to student loan accounts when required by federal, state and University auditors. These records should be retained for five (5) years.

5. The University reserves the right to audit or cause to be audited the selected firm's

books and accounts with the University at any time during the term of this agreement and for five (5) years thereafter.

6. The contractor's system shall have the capability to administer privately funded

loans (University loans) according to criteria established by the University. Specifically, the system should allow the University to set up its own parameters for the timing of due diligence contacts, and to customize the text of each due diligence notice.

7. The contractor's system must have edits to ensure that the University's federal loans

are processed in compliance with federal regulations, and to protect the integrity of the University's data.

8. Contractor's system must accrue interest on a daily basis to maximize the return of

funds to the loan program(s).

9. Contractor’s system should have the ability to capitalize amounts (usually interest and costs) resulting from judgments.

10. Contractor shall report accounts to a national credit bureau organization, as required

by federal regulations. Contractor must respond to credit disputes filed by the borrower.

F. Reports

1. The contractor's system should have the capability to offer the following options:

a. Consolidate the printing of loans from several loan programs in a single report, while maintaining the identity of each loan.

b. Selection of medium for each report, including the capability to view

any report on a screen, using the contractor's on-line service. c. Electronic transmission of reports or report data via downloads, CD-

Rom or magnetic tape. d. Selection of the sort sequence for each report, usually numeric or

alphabetical. However, the University may wish to have other sort options on some reports, such as dates or level of delinquency.

e. Selection of multiple sorts for the same report. f. Selection of the production frequency for each report, i.e. daily, weekly,

monthly, quarterly, semi-annually, or annually.


g. Generating reports by group of loans assigned to each University collector, using an alphabetical range based on borrower's last name, or a numerical range based on borrower's account number.

2. The contractor's system should provide an inventory list of reports included in each

mailing, i.e. a shipping list.

3. The University should receive (but not be limited to) the following types of reports:

a. Required reports and desired frequency Accounting/Reconcilement Reports

• List of transactions and adjustments processed - Monthly • Cash listing showing detail of deposits - Monthly • Reconcilement of cash and related general ledger entries - Monthly • List of general ledger entries in Debit/Credit format - Monthly • List of new loans and disbursements posted - Monthly • List of new loans and disbursements not posted - Weekly

Program Maintenance Reports

• List of all borrowers included in the current year cohort and a list of borrowers who may be included in the next cohort year - Monthly

• Inventory of borrowers scheduled to graduate - Quarterly • Inventory of borrowers who are in school or in their grace period –

Quarterly • Inventory of borrowers who are in repayment, with the option to include

those with paid-in-full loans – Monthly • Cross-reference list with names and account numbers - Quarterly • List of addresses from borrowers whose mail was returned - Monthly • List of changed names, addresses, and telephone numbers - Monthly • List of loans paid in full, including a comment to indicate how the loan

was paid (e.g. payment, cancellation, etc.), and information sufficient to audit the accounts - Monthly

• List of accounts for which billing has been suspended, with an indication of the reason - Quarterly

• List of loans that meet the criteria for IRS skiptracing - Monthly

Delinquency Reports

• List of delinquent loans, categorized by number of days past due. The University will select the range of days past due for each category - Monthly

• Report of borrowers with whom the University has made special payment

arrangements or who have received hardship deferments - Monthly • Inventory of loans assigned to the U.S. Department of Education,

including monetary information necessary to reconcile to the general ledger and the federal report - Monthly


Collection Reports

• Inventory of accounts assigned to each collection agency under contract with the University and to each University collector - Quarterly

• List of accounts assigned to each collection agency or University collector

during the reporting period - Monthly • Report of payments sent to the contractor by borrowers who are assigned

to a collection agency or University collector - Monthly • Report providing success rates of each collection agency used by the

University - Monthly • Program Management Reports • Fiscal Operations Report in the format needed for the Federal Perkins

Loan Program, including a listing of accounts included in Part III, Section C - Semi-annually.

• Annual Operating Report in the format needed for the Health Professions

and Nursing loan programs, including a listing of accounts included in the Borrower Account Worksheet - Semi-annually

• Program summary report to provide the University with sufficient

statistical data to monitor the status of each loan program, e.g. number of loans/borrowers, total dollars loaned and due, etc. - Monthly

b. Optional Reports

Accounting/Reconcilement Reports

• List of loans with disbursements in the current award year -

Quarterly

Program Maintenance Reports • Cumulative list of borrowers for whom the contractor does not have

any good address - Quarterly • Cumulative list of loans with a credit balance - Quarterly

• List of the interest paid by borrowers during the calendar year -

Annually • List of loans with small balances. The University shall have the

option to set the amount. - Monthly


Delinquency Reports

• List of borrowers who become delinquent during the month, based on criteria selected by the University, i.e. number of days past due. - Weekly

Program Management Reports

• Summary report of activity on delinquent accounts and on accounts assigned to collection agencies. This report would provide the University with a method to measure the productivity of its collectors and collection agencies. The contractor shall propose a report format to meet this need.

4. The contractor should list other reports that are available to the University and

include samples. G. Conversion

1. Provide a detailed conversion plan and explain the University’s role in this process. 2. The contractor shall convert the history of the account into an on-line history file. 3. The conversion shall be completed within 90 days of the notice of award. 4. The conversion shall include an audit of the accounts and a letter shall be sent to the

borrowers to confirm the status of their account.

5. Contractor shall prepare a reconciliation report at the completion of the conversion. 6. Upon completion of the conversion, the Contractor shall confirm with the borrower

the status of the account using the newly created records and notify them of the change in billing service.

7. Contractor shall provide initial training at the University following the conversion

period. H. Training

1. The Contractor shall provide initial training of University employees and follow-up training of these employees as well as service call support for the department. The Contractor must provide training at their location for University employees.

2. Contractor shall perform annual on-site training visits as mutually agreed upon

between the Contractor and the University. I. Ancillary Services

1. It is desirable that the contractor makes information available on the World Wide Web for both University/borrower inquiries. Please discuss options and features available on your home page. Include any options for downloading


deferment/cancellation forms, etc.

2. Discuss any cohort assistance programs offered. Include frequency and types of contacts and include the cost of this service in the cost proposal.

3. The contractor shall have available consultative services to insure the University is

taking full advantage of all services, features and products.

4. The University is constantly looking at ways to improve services to its students. Please discuss other services your company offers including loan consolidations, tuition payments plans, institutional loan servicing, etc.

2.2 Subcontractors

Subcontractors providing services under the Contract shall meet the same requirements and level of experience as required of Respondent. No subcontract under the Contract shall relieve Respondent of responsibility for ensuring the requested services are provided. Respondents planning to subcontract all or a portion of the work to be performed shall identify the proposed subcontractors. A HUB Subcontracting Plan must accompany all proposals. 2.2.1 Respondents planning to subcontract all or a portion of the work shall identify the proposed subcontractors. 2.2.2 Subcontracting shall be at the respondents expense. 2.2.3 Texas A&M University-Corpus Christi retains the right to check subcontractor’s background and make a determination to approve or reject the use of submitted subcontractors. 2.2.4The respondent shall be the only contact for Texas A&M University-Corpus Christi and subcontractors. Respondent shall list a designated point of contact for all Texas A&M University-Corpus Christi and subcontractor inquiries.


SECTION III

PROPOSAL INFORMATION

3.1 Schedule of Events. The solicitation process for this RFP will proceed according to the

following schedule:

Texas A&M University-Corpus Christi reserves the right to change the dates shown below upon written notification. Event Date Issue RFP May16, 2011

Deadline for Submission of Questions May 27, 2011 Deadline for Submission of Proposals June 9, 2011 Expected Award of Contract July 15, 2011 Expected Contract Start Date September 01, 2011

3.2 REVISIONS TO SCHEDULE.

TAMU-CC reserves the right to change the dates in the schedule of events above upon written notification to prospective Respondents through a posting on the TAMU-CC purchasing website and on the Electronic State Business Daily as an Addendum. See section 3.5 for URL.

3.4 PROPOSAL REQUIREMENTS.

(a) Submissions: Respondents shall submit one (1) original of the HUB Subcontracting Plan(in a separate envelope), and one original Section V, Execution of Proposal, along with one (1) original and six (6) copies (CD’s) of the Proposal. Proposal pages should be numbered and contain an organized, paginated table of contents corresponding to the section and pages of the Proposal. (b) Costs: Respondents to this RFP are responsible for all costs of Proposal preparation. (c) TAMU-CC will not consider any Proposal that bears a copyright. Proposals will be subject to the Texas Public Information Act, Tex. Gov’t Code, Chapter 552, and may be disclosed to the public upon request. Subject to the Act, Respondents may protect trade and confidential information from public release. Trade secrets or other confidential information, submitted as part of a Proposal, shall be clearly marked at each page it appears. Such marking shall be in boldface type at least 14 point font. (d) Contents: Listed below is a summary of all information to be included in a Proposal submitted in response to this RFP. TAMU-CC reserves the right, in its sole judgment and discretion, to waive minor technicalities and errors in the best interest of the state. The following documents must be submitted with the response.


(1) Respondent Information: Section VII- Respondent’s Questionnaire Include the following information related to the responding business entity: formal name and all assumed names used by the business entity; structure of business entity (i.e. sole proprietorship, partnership, corporation, etc.); state in which business entity was formed or incorporated; physical address and mailing address; principal place of business; whether, and to what extent, Respondent has established a physical presence in the State of Texas including relevant timeframes; and name, title, address, telephone number, facsimile number, and e-mail address of Respondent’s primary contact.

(2) Exhibit A -- Historically Underutilized Businesses (HUB) Sub-

Subcontracting Plan: The HUB Subcontracting Plan (the “Plan”) shall be completed, signed, and returned with the Proposal. Include all subcontractors on the Plan; state whether each subcontractor has been certified as a HUB by the State of Texas; and if certified, provide the most recent date of certification. Complete the remainder of the Plan forms as directed. Failure to complete and return the Plan with the submitted Proposal will result in rejection of the Proposal.

(3) Section V – Signed Execution of Proposal: Failure to sign and return the

Execution of Proposal with the submitted Proposal will result in rejection of the Proposal.

(4) Section VI – Pricing and delivery schedule: Provide requested

information as directed.

(5) Section VIII

(6) Proposed Services: With respect to each of the services outlined in

Section 2.1, provide the detailed description of proposed (type of product/services). Provide separate Section for each type of services provided.

3.5 INQUIRIES

(a) All inquiries shall be submitted in writing to Judy Harral at facsimile 361-825-2772 or by e-mail to [email protected] by May 27, 2011 Central Daylight Time, the date listed as the deadline for submission of questions as specified in Section 3.1 above.

(b) All inquiries will result in written responses with copies posted to the Electronic State

Business Daily, available at http://esbd.cpa.state.tx.us/ and the TAMU-CC Purchasing website at http://falcon.tamucc.edu/~finserv/purchasing/purchasing_bid_opportunities.php . If a Respondent does not have Internet access, a copy of all written responses may be obtained through the point of contact listed above.

(c) Except as otherwise provided in this Section, upon issuance of this RFP, other employees

and representatives of TAMU-CC will not answer questions or otherwise discuss the contents of the RFP with any potential Respondent or its representatives. Failure to observe

mailto:[email protected]

http://esbd.cpa.state.tx.us/

http://falcon.tamucc.edu/~finserv/purchasing/purchasing_bid_opportunities.php


this restriction may result in disqualification of any subsequent response. This restriction does not preclude discussions unrelated to this RFP.

(d) If Respondent takes any exceptions to any provisions of this RFP, these exceptions must be

specifically and clearly identified by Section in Respondent’s Proposal in response to this RFP and Respondent’s proposed alternative must also be provided in the Proposal. Respondents cannot take a “blanket exception” to this entire RFP. If any Respondent takes a “blanket exception” to this entire RFP or does not provide proposed alternative language, the Respondent’s Proposal may be disqualified from further consideration.

Respondents are strongly encouraged to submit written questions during the official

question and answer period regarding any term or condition of this RFP and whether TAMU-CC may negotiate that provision under this particular RFP.

3.6 PROPOSAL SUBMISSION.

(a) All Proposals shall be received and time stamped at TAMU-CC prior to 2:00 pm, Central Daylight Time, on the date specified in the Schedule of Events above. TAMU-CC reserves the right to reject late submittals.

(b) Proposals should be placed in a separate envelope or package and correctly identified with

the RFP number and submittal deadline/RFP opening date and time. It is Respondent’s responsibility to appropriately mark and deliver the Proposal to TAMU-CC by the specified date.

(c) Telephone and facsimile Proposals will not be accepted.

(d) Receipt of all addenda to this RFP should be acknowledged by returning a signed copy of

each addendum with the submitted Proposal. 3.7 DELIVERY OF PROPOSALS. Proposals shall be submitted to TAMU-CC by one of the

following methods:

U.S. POSTAL SERVICE AND/OR OVERNIGHT EXPRESS MAIL Texas A&M University-Corpus Christi Purchasing Department 6300 Ocean Drive, Unit 5731 Corpus Christi, TX 78412-5731

HAND DELIVER TO: Texas A&M University-Corpus Christi Purchasing Building 6300 Ocean Drive, Room 115A Corpus Christi, TX 78412-5731 Hours- M-TH prior to 5pm (Fri 3pm)

3.8 PROPOSAL OPENING. Proposals will be opened at:

Texas A&M University-Corpus Christi Purchasing Building 6300 Ocean Drive, Room 110 Corpus Christi, TX 78412


(a) All submitted Proposals become the property of TAMU-CC after the RFP submittal

deadline/opening date. (b) Proposals submitted shall constitute an offer for a period of ninety (90) days or until

selection is made by TAMU-CC, whichever occurs earlier. 3.9 PROPOSAL EVALUATION AND AWARD.

(a) TAMU-CC shall award a contract to a Respondent whose Proposal is considered to provide the best value to the State of Texas, as defined by Tex. Gov’t Code, Section 2155.074.

(b) A committee will be established to evaluate the Proposals. The committee will include

employees of TAMU-CC and other persons invited by TAMU-CC to participate.

c) The evaluation committee will determine best value by applying the following criteria and assigned weighted values:

Criteria Weight Compensation and Fees 50 % Company Information 10 % Proposed Services 10 % Experience and Qualifications 30 % 100 %

(d) The evaluation committee will determine if Best and Final Offers are necessary. Award of a

contract may be made without Best and Final Offers. TAMU-CC may, at its discretion, elect to have Respondents provide oral presentations and respond to inquiries from the evaluation committee related to their Proposals. A request for a Best and Final Offer is at the sole discretion of TAMU-CC and will be extended in writing

(e) In evaluating Proposals to determine the best value for the State, TAMU-CC may consider

information related to past contract performance of a Respondent including, but not limited to, TPASS’ Vendor Performance Tracking System (available at http://www.window.state.tx.us/procurement/prog/vendor_performance ).

http://www.window.state.tx.us/procurement/prog/vendor_performance


SECTION 4

GENERAL TERMS AND CONDITIONS

4.1 Any Contract awarded as a result of this RFP will contain the general terms and conditions

listed below in this Section. Subcontractors are also obliged to comply with these provisions.

TEXAS A&M UNIVERSITY-CORPUS CHRISTI

CONTRACT/AGREEMENT RFP Number: _____________

This contract is entered into this _______day of _____________, 2007, by Texas A&M University-Corpus Christi, a member of The Texas A&M University System, an agency of the State of Texas, (hereinafter called TAMU-CC) and ____________________ (hereinafter referred to as Contractor), a _________corporation having its’ principal place of business at _____________________. WITNESSETH that the Contractor and TAMU-CC, in consideration of the mutual covenants, promises, and agreements herein contained, agree as follows: 1. SCOPE OF SERVICES The scope of work includes that work that is outlined in the attached RFP to furnish all _______

(equipment, labor, and materials) for _________.

2. TERM OF THE CONTRACT

This contract shall commence on or about ___________and shall terminate on __________. 3. COMPENSATION AND METHOD OF PAYMENT

A. This Agreement is for the sum of _____________________________ ($___________).

OR

A. TAMU-CC shall compensate the Contractor for the services at the rate of $_______per _______ (e.g., hour, day, week, semester).

B. In no event shall the Contractor be reimbursed for holidays, sick days, or time other than that

actually spent providing the described service(s).


C. Payment will be made upon submittal and approval of the Payment Voucher(s) on State Funds,

or the University’s Invoice(s) on Non-State Funds that is (are) received. TAMU-CC agrees to make all reasonable efforts to process payments within thirty (30) days, in arrears, in accordance with the procedures and regulations of the Office of the State Comptroller.

D. Reimbursement for travel:

(1) All travel and meals are part of this contract. No reimbursement will be made.

OR (1) Contractor will be reimbursed for pre-approved travel in an amount not to exceed

$_______. Copies of receipts must be submitted. Any expense claimed by the Contractor for which there is no supporting documentation shall be disallowed.

(2) For information on allowable State rates visit:

http://www.window.state.tx.us/fm/pubs/travallow/00-01/tag_toc.html

E. The total of all payments made against this contract shall not exceed $__________.

4. CONTRACT DOCUMENTS

The contract documents shall consist of the following (listed in order of precedence) attached to and incorporated as part of this agreement:

A. This Executed Agreement;

B. Exhibit “A” – Statement of Work;

C. Exhibit “B” – The RFP and Addenda;

D. Exhibit “C” – Contractor’s Proposal; and,

E. Exhibit “D” – Other Attachments.

5. VENUE

This Agreement is performable in Nueces County, Texas. Pursuant to Section 85.18, Texas Education Code, venue for any suit filed against TAMU-CC shall be in the county in which the primary office of the chief executive officer of TAMU-CC is located.

6. GOVERNING LAW

The validity of this Agreement and all matters pertaining to this Agreement, including but not limited to, matters of performance, non-performance, breach, remedies, procedures, rights, duties, and interpretation or construction, shall be governed and determined by the Constitution and the laws of the State of Texas.

http://www.window.state.tx.us/fm/pubs/travallow/00-01/tag_toc.html


7. SEVERABILITY

If any part of this Agreement shall be held illegal, unenforceable, or in conflict with any law, the validity of the remaining portions shall not be affected hereby.

8. INSURANCE

Contractor represents and warrants that it will, within five (5) business days of executing this agreement, provide TAMU-CC with current certificates of insurance or other proof acceptable to TAMU-CC of the following insurance coverage: Standard Workers Compensation Insurance covering all Contractor’s personnel who will provide services under this Contract; Commercial General Liability Insurance, personal injury and advertising injury with, at a minimum, the following limits: $1,000,000 minimum each occurrence: $1,000,000 per general aggregate. TAMU-CC shall be named as an additional insured on the policy.

Contractor represents and warrants that all of the above coverage is with companies licensed in the state of Texas with “A” rating from Best, and such companies are authorized to provide the corresponding coverage. Contractor also represents and warrants that all policies contain endorsements prohibiting cancellation, except upon at least thirty (30) days prior written notice to TAMU-CC. Contractor represents and warrants that it shall maintain the above insurance coverage during the term of this contract, and shall provide TAMU-CC with an executed copy of the policies immediately upon request.

9. ENTIRE AGREEMENT

This document constitutes the entire agreement between TAMU-CC and Contractor. This document supersedes all oral or written previous and contemporary understandings or agreements relating to matters contained herein. This Agreement may not be amended or otherwise altered except by mutual agreement in writing signed by TAMU-CC and Contractor.

10. ASSIGNMENT

This Agreement is not assignable without express written agreement of TAMU-CC and Contractor.

11. INDEMNIFICATION

Contractor shall defend, indemnify and hold harmless TAMU-CC, all of its officers, agents and employees from and against all claims, actions, suits, demands, proceedings, costs, damages, and liabilities, arising out of, connected with or resulting from any acts or omissions of Contractor or any agent, employee or representative of Contractor in the execution or performance of this Agreement.


12. FORCE MAJEURE

Neither party is required to perform any term, condition, or covenant of this Agreement, if performance is prevented or delayed by a natural occurrence, a fire, an act of God, an act of terrorism, or other similar occurrence, the cause of which is not reasonably within the control of such party and which by due diligence it is unable to prevent or overcome.

13. DISPUTE RESOLUTION PROCESS

The dispute resolution process provided in Chapter 2260, Texas Government Code, and the related rules adopted by the Texas Attorney General pursuant to Chapter 2260, shall be used by TAMU-CC and Contractor to attempt to resolve any claim for breach of contract made by Contractor that cannot be resolved in the ordinary course of business. Contractor shall submit written notice of a claim of breach of contract under this Chapter to Director of Purchasing of TAMU-CC, who shall examine Contractor’s claim and any counterclaim and negotiate with Contractor in an effort to resolve the claim.

14. STATE CONTRACTING REQUIREMENTS

A. CHILD SUPPORT: A child support obligor who is more than 30 days delinquent in paying child support and a business entity in which the obligor is a sole proprietor, partner, shareholder, or owner with an ownership interest of at least 25 percent is not eligible to receive payments from state funds under an Agreement to provide property, materials, or services until all arrearages have been paid or the obligor is in compliance with a written repayment agreement or court order as to any existing delinquency. The Texas Family Code requires the following statement: “Under Section 231.006, Texas Family Code, the vendor or applicant certifies that the individual or business entity named in this contract, bid, or application is not 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.”

B. DEBTS OR DELINQUENCIES:

Pursuant to Section 2252.903, Texas Government Code, Contractor agrees that any payments owing to Contractor under this Agreement may be applied directly toward certain debts or delinquencies that Contractor owes the State of Texas or any agency of the State of Texas regardless of when they arise, until such debts or delinquencies are paid in full.

C. FRANCHISE TAX CERTIFICATION: If Contractor is a taxable entity subject to the Texas Franchise Tax (Chapter 171, Texas Tax Code), then Contractor certifies that it is not currently delinquent in the payment of any franchise taxes or that Contractor is exempt from the payment of franchise taxes.

D. COMPENSATION FOR PREPARING BID SPECIFICATIONS:

A state agency may not accept a bid or award a contract that includes proposed financial participation by a person who received compensation from the agency to participate in preparing the specifications or request for proposals on which the bid or contract is based. The Texas Government Code requires the following statement: “Under Section 2155.004, Texas Government Code, the vendor certifies that the individual or business entity named in this bid or contract is not ineligible to receive the specified contract and acknowledges that this contract may be terminated and payment withheld if this certification is inaccurate.”


E. BUY TEXAS:

With respect to all goods purchased pursuant to this Agreement, Contractor represents and warrants that goods produced in Texas will be given preference if the cost and quality are equal to the goods produced outside of Texas.

F. PUBLIC INFORMATION ACT:

Contractor acknowledges that TAMU-CC is obligated to strictly comply with the Public Information Act, Chapter 552, Texas Government Code, in responding to any request for public information pertaining to this Agreement.

G. LOSS OF FUNDING:

Performance by TAMU-CC under this Agreement may be dependent upon the appropriation and allotment of funds by the Texas State Legislature (the “Legislature”). If the Legislature fails to appropriate or allot the necessary funds then TAMU-CC will issue written notice to Contractor and TAMU-CC may terminate this Agreement without further duty or obligation hereunder. Contractor acknowledges that appropriation of funds is beyond the control of TAMU-CC.

H. STATE AUDITOR’S OFFICE: Contractor understands that acceptance of funds under this Agreement constitutes acceptance of the authority of the Texas State Auditor's Office, or any successor agency (collectively, “Auditor”), to conduct an audit or investigation in connection with those funds pursuant to Section 51.9335(c), Texas Education Code. Contractor agrees to cooperate with the Auditor in the conduct of the audit or investigation, including without limitation providing all records requested. Contractor will include this provision in all contracts with permitted subcontractors.

I. HISTORICALLY UNDERUTILIZED BUSINESS:

Contractor represents and warrants that it shall comply with the Historically Underutilized Business requirements pursuant to Government Code, Chapter 2161.

J. NON-WAIVER PROVISIONS:

Contractor expressly acknowledges TAMU-CC is an agency of the State of Texas and nothing in this Agreement will be construed as a waiver or relinquishment by TAMU-CC of its right to claim such exemptions, privileges, and immunities as may be provided by law.

15. NOTICES

Any notice required or permitted under this Agreement must be in writing, and shall be deemed to be delivered (whether actually received or not) when deposited with the United States Postal Service, postage prepaid, certified mail, return receipt requested, and addressed to the intended recipient at the address set out below. Notice may also be given by regular mail, personal delivery, courier delivery, facsimile transmission, email or other commercially reasonably means and will be effective when actually received. TAMU-CC and Contractor can change their respective notice address by sending to the other party a notice of the new address. Notices should be addressed as follows:

TAMU-CC: Attention:


Phone: ( ) Fax: ( ) E-mail: Contractor: Attention: Phone: ( ) Fax: ( ) E-mail: 16. DEFAULT AND TERMINATION

A. In the event of substantial failure by Contractor to perform in accordance with the terms of this Agreement, TAMU-CC may terminate this Agreement upon fifteen (15) days written notice of termination setting forth the nature of the failure, provided that said failure is through no fault of TAMU-CC. The termination shall not be effective if the failure is fully cured prior to the end of the fifteen-day period.

B. TAMU-CC may, without cause, terminate this Agreement at any time upon giving thirty (30)

days advance notice to Contractor. Upon termination pursuant to this paragraph, Contractor shall be entitled to payment of such amount as shall compensate Contractor for the services satisfactorily performed from the time of the last payment date to the termination date in accordance with this Agreement, provided that Contractor shall deliver to TAMU-CC all completed, or partially completed, work and any and all documentation or other products and results of these services. Contractor shall not make or retain any copies of the work or any and all documentation or other products and results of the services without the prior written consent of TAMU-CC. TAMU-CC shall not be required to reimburse Contractor for any services performed or expenses incurred after the date of termination notice.

C. If this Contract is terminated for any reason, TAMU-CC shall not be liable to Contractor for

any damages, claims, losses, or any other amounts arising from or related to any such termination.

17. INDEPENDENT CONTRACTOR

Contractor shall serve as an independent contractor in providing services under this Agreement. This Agreement will not be construed as creating an employer/employee relationship between TAMU-CC and Contractor. In WITNESS WHEREOF, the parties have caused this contract to be duly executed intending to be bound thereby. CONTRACTOR: TEXAS A&M UNIVERSITY-CORPUS

CHRISTI: By:__________________________________ By: _________________________________ Signature Signature


Name:_______________________________ Name:_______________________________ Printed/Typed Name Printed/Typed Name Title:________________________________ Title:________________________________ Date:________________________________ Date:________________________________

ADD THE FOLLOWING AFTER NON-WAIVER PROVISIONS, IF APPLICABLE: Previous Employment: Contractor acknowledges and understands that Section 2252.901, Texas Government Code, prohibits TAMU-CC from using state appropriated funds to enter into any employment contract, consulting contract, or professional services contract with any individual who has been previously employed, as an employee, by the agency within the past twelve (12) months. If Contractor is an individual, by signing this Agreement, Contractor certifies that Section 2252.901, Texas Government Code, does not prohibit the use of state appropriated funds for satisfying the payment obligations herein. Access by Individuals with Disabilities: [NOTE: TO THE EXTENT THAT CONTRACTOR PROVIDES ELECTRONIC AND INFORMATION RESOURCES AND ALL ASSOCIATED INFORMATION, DOCUMENTATION, AND SUPPORT, THE FOLLOWING PARAGRAPH SHOULD BE INSERTED:] Contractor represents and warrants that the electronic and information resources and all associated information, documentation, and support that it provides to TAMU-CC under this Agreement (collectively, the “EIRs”) comply with the applicable requirements set forth in Title 1, Chapter 213 of the Texas Administrative Code and Title 1, Chapter 206, §206.70 of the Texas Administrative Code (as authorized by Chapter 2054, Subchapter M of the Texas Government Code.) To the extent Contractor becomes aware that the EIRs, or any portion thereof, do not comply, then Contractor represents and warrants that it will, at no cost to TAMU-CC, either (1) perform all necessary remediation or (2) replace the EIRs with new EIRs. In the event that Contractor fails or is unable to do so, then TAMU-CC may terminate this Agreement and Contractor will refund to TAMU-CC all amounts TAMU-CC has paid under this Agreement within thirty (30) days after the termination date. Technology Access: [NOTE: TO THE EXTENT THAT THE AGREEMENT INVOLVES THE ACQUISITION OF AN AUTOMATED INFORMATION SYSTEM AS DEFINED BY SECTION 2157.001(1), TEXAS GOVERNMENT CODE, AND USED IN SECTION 2157.005, TEXAS GOVERNMENT CODE, THE FOLLOWING PARAGRAPH SHOULD BE INSERTED:] Contractor is not conceding that the technology provided under this Agreement to TAMU-CC constitutes an automated information system as defined by Section 2157.001(1), Texas Government Code, and used in Section 2157.005, Texas Government Code. If the technology constitutes an automated information system then, in accordance with Section 2157.005, Texas Government Code, the following language must be included in this Agreement:


“The vendor expressly acknowledges that state funds may not be expended in connection with the purchase of an automated information system unless that system meets certain statutory requirements relating to accessibility by persons with visual impairments. Accordingly, the Contractor represents and warrants to TAMU-CC that the technology provided to TAMU-CC for purchase is capable, either by virtue of features included within the technology or because it is readily adaptable by use with other technology, of: (1) providing equivalent access for effective use by both visual and nonvisual means; (2) presenting information, including prompts used for interactive communications, in formats intended for both visual and nonvisual use; and (3) being integrated into networks for obtaining, retrieving, and disseminating information used by individuals who are not blind or visually impaired. For purposes of this clause, the phrase “equivalent access” means substantially similar ability to communicate with or make use of the technology, either directly by features incorporated within the technology or by other reasonable means such as assistive devices or services that would constitute reasonable accommodations under the federal Americans with Disabilities Act or similar state or federal laws. Examples of methods by which equivalent access may be provided include, but are not limited to, keyboard alternatives to mouse commands and other means of navigating graphical displays, and customizable display appearance.”


Section 5 EXECUTION OF PROPOSAL

By signature hereon, the respondent certifies that: All statements and information prepared and submitted in the response to this RFP are current, complete and accurate. He/she has not given, offered to give, nor intends to give at anytime hereafter, any economic opportunity, future employment, gift, loan gratuity, special discount, trip, favor, or service to a public servant in connection with the submitted response. Failure to sign the Execution of Proposal or signing it with a false statement shall void the submitted offer or any resulting contracts. Neither the proposer or the firm, corporation, partnership, or institution represented by the proposer or anyone acting for such firm, corporation, or institution has violated the antitrust laws of this State, codified in Section 15.01, et seq., Texas Business and Commerce Code, or the Federal antitrust laws, nor communicated directly or indirectly the offer made to any competitor or any other person engaged in such line of business. By signing this proposal, proposer certifies that if a Texas address is shown as the address of the proposer, proposer qualifies as a Texas Resident Bidder as defined in Rule 1 TAC 111.2. Under Section 2155.004, Government Code, the contractor certifies that the individual or business entity named in this bid or contract is not ineligible to receive the specified contract and acknowledges that this contract may be terminated and payment withheld if this certification is inaccurate. Under TGC, Title 5, Subtitle D, Section 231.006, Family Code (relating to child support), the individual or business entity named in this solicitation is eligible to receive the specified payment and acknowledges that this contract may be terminated and payment withheld if this certification is inaccurate. The response includes the names and Social Security Numbers of each person with a minimum of twenty-five percent (25%) ownership of the business entity submitting the response. Respondents that have pre-registered this information on the TAMU-CC Centralized Master Bidders List have satisfied this requirement. If not pre-registered, provide the names and Social Security Number with the Execution of Proposal. Respondent is in compliance with TGC, Title 6, Subtitle A, Section 618.001, relating to contracting with an executive of a state agency. If Section 618.001 applies, respondent shall provide the following information as an attachment to this response. Name of former executive, name of state agency, date of separation from state agency, position with respondent, and date of employment with respondent. Respondent agrees that any payments due under this contract will be applied towards any debt, including but not limited to delinquent taxes and child support that is owed to the State of Texas. Respondent represents and warrants that the individual signing this Execution of Proposal is authorized to sign this document on behalf of the respondent and to bind the respondent under any contract resulting from this proposal. RESPONDENT (Company)_______________________________________________________________________________ SIGNATURE (INK): _____________________________________________________________________________________ NAME (PRINTED) ______________________________________________________________________________________ TITLE: _________________________________________DATE: _________________________________________________ STREET: ______________________________________________________________________________________________ CITY/STATE/ZIP_________________________________________________________________________________________ TELEPHONE AND FAXSCMILE NO.: ________________________________________________________________________ TEXAS IDENTIFICATION NUMBER (TIN): ____________________________________________________________________ In the case of a tie between two (2) or more respondents, the award will be made in accordance with preferences as outlined in Rule 1, TAC 113.8. If a tie still exists after review of preferences claimed by respondents, Texas A&M University-Corpus Christi will draw lots to break the tie. Check below if preference claimed under Rule 1 T.A.C. 113.8 (_____) 1. Supplies, materials, equipment, or services produced in TX/offered by TX bidders (_____) 2. Agricultural products produced or grown in TX (_____) 3. Agricultural products and services offered by Texas bidders (_____) 4. USA produced supplies, materials or equipment (_____) 5. Products of persons with mental or physical disabilities (_____) 6. Products made of recycled, remanufactured, or environmentally sensitive materials including recycled steel (_____) 7. Energy efficient products (_____) 8. Rubberized asphalt paving material (_____) 9. Recycled motor oil and lubricants (_____) 10. Products produced at facilities located on formerly contaminated property (_____) 11. Products and services from economically depressed or blighted areas

NOTE: RESPONDENTS SHALL COMPLETE AND RETURN THIS SECTION WITH THEIR PROPOSAL. BLUE INK PREFERRED. FAILURE TO DO SO WILL RESULT IN DISQUALIFICATION OF THE PROPOSAL.


Section 6 Pricing & Delivery Schedule

A. Monthly Service Fee

Monthly Volume by Loan Type

Rate

Total

Enrolled

Monthly Grace/Repayment

Quarterly Grace/Repayment

Annual Grace/Repayment

Paid in Full

Assigned to U.S. Department of Education

Exit Interview Packages (complete)

1st Overdue Notice

2nd Overdue Notice

Final Demand Notice

TRA Reporting – Borrower and IRS

90-day Due Diligence Telephone Call

NSLDS Reporting

Credit Bureau Reporting

Credit Bureau Disputes

Banking Services: Automated Clearing House Transfers Daily Wire Transfers Lock Box

On Line Access - Data and Reports

TOTAL MONTHLY COST OF CONTRACT

B. Contractor shall also provide pricing information, if any, for the following additional

services: 1. Due Diligence Telephone Contact 2. History/Profile of Accounts 3. Skip Tracing Services 4. Reports 5. Conversion

C. Contractor shall list below any other charges/discounts that might occur which have not

been listed above. Please define clearly and estimate the volume. Any charges for services not addressed in this pricing schedule will not be allowed in the course of the contract unless the scope of services is expanded by the University.


SECTION 7

RESPONDENT’S QUESTIONNAIRE The Respondent recognizes that in selecting a company/agent, Texas A&M University-Corpus Christi will rely, in part, on the answers provided in response to this Section 7. Accordingly, Respondent warrants to the best of its knowledge that all responses are true, correct and complete. Texas A&M University-Corpus Christi reserves the right to contact each and every reference listed below and shall be free from any liability to respondent for conducting such inquiry. 7.1 Company Profile

• Number of Years in Business: _______

Type of Operation: Individual____ Partnership____ Corporation____ Government____

Number of Employees: ______(company wide) Number of Employees: ______(servicing location)

Annual Sales Volume: _____________________________(company wide) Annual Sales Volume: _____________________________(servicing location)

• State that you will provide a copy of your company’s audited financial statements for the past

two (2) years, if requested by Texas A&M University-Corpus Christi.

• Provide a financial rating of your company and any documentation (such as a Dunn and Bradstreet Analysis) which indicates the financial stability of your company, if requested by Texas A&M University-Corpus Christi.

• Is your company currently for sale or involved in any transaction to expend or to become acquired by another business entity? If yes, please explain the impact both in organizational and directional terms.

• Provide any details of all past or pending litigation or claims filed against your company that would negatively impact your company’s performance under an agreement with Texas A&M University-Corpus Christi.

• Is your company currently in default on any loan agreement or financing agreement with any bank, financial institution, or other entity? If yes, specify date(s), details, circumstances, and prospects for resolution.

• Please list below any exceptions to the requirements of this Request for Proposal.


Section 8 REFERENCES

List below other organizations (users of similar size and structure to Texas A&M University-Corpus Christi preferred) for which these or similar services have been provided: List must include a contact name and current phone number. Company Name ____________________________________________________ Address: ____________________________________________________ City, State, Zip code: ____________________________________________________ Contact Person: ____________________________________________________ Telephone Number: ____________________________________________________ Dates of Service: ____________________________________________________ Company Name ____________________________________________________ Address: ____________________________________________________ City, State, Zip code: ____________________________________________________ Contact Person: ____________________________________________________ Telephone Number: ____________________________________________________ Dates of Service: ____________________________________________________ Company Name: ____________________________________________________ Address: ____________________________________________________ City, State, Zip code: ____________________________________________________ Contact Person: ____________________________________________________ Telephone Number: ____________________________________________________ Dates of Service: ___________________________________________________


EXHIBIT A

Historically Underutilized Businesses (HUB)

Subcontracting Plan

1. HUB Subcontracting Forms

2. Hub Subcontracting Information

3. Subcontracting Probabilities

4. Minority/Trade Organizations


HUB SUBCONTRACTING PLAN (HSP) In accordance with Gov’t Code §2161.252, the contracting agency has determined that subcontracting opportunities are probable under this contract. Therefore, respondents, including State of Texas certified Historically Underutilized Businesses (HUBs), must complete and submit a State of Texas HUB Subcontracting Plan (HSP) with their solicitation response.

NOTE: Responses that do not include a completed HSP shall be rejected pursuant to Gov’t Code §2161.252(b). The HUB Program promotes equal business opportunities for economically disadvantaged persons to contract with the State of Texas in accordance with the goals specified in the State of Texas Disparity Study. The HUB goals defined in 34 TAC §20.13 are: 11.9 percent for heavy construction other than building contracts, 26.1 percent for all building construction, including general contractors and operative builders contracts, 57.2 percent for all special trade construction contracts, 20 percent for professional services contracts, 33 percent for all other services contracts, and 12.6 percent for commodities contracts.

- - Agency Special Instructions/Additional Requirements - -

SECTION 1 - RESPONDENT AND SOLICITATION INFORMATION

a. Respondent (Company) Name: State of Texas VID #:

Point of Contact: Phone #:

b. Is your company a State of Texas certified HUB? - Yes - No

c. Solicitation #: SECTION 2 - SUBCONTRACTING INTENTIONS

After having divided the contract work into reasonable lots or portions to the extent consistent with prudent industry practices, the respondent must determine what portion(s) of work, including goods or services, will be subcontracted. Note: In accordance with 34 TAC §20.12., a “Subcontractor” means a person who contracts with a vendor to work, to supply commodities, or contribute toward completing work for a governmental entity. Check the appropriate box that identifies your subcontracting intentions:

- Yes, I will be subcontracting portion(s) of the contract. (If Yes, in the spaces provided below, list the portions of work you will be subcontracting, and go to page 2.)

- No, I will not be subcontracting any portion of the contract, and will be fulfilling the entire contract with my own resources. (If No, complete SECTION 9 and 10.)

Line Item # - Subcontracting Opportunity Description Line Item # - Subcontracting Opportunity Description ( #1) - (#11) -

( #2) - (#12) -

( #3) - (#13) -

( #4) - (#14) -

( #5) - (#15) -

( #6) - (#16) -

( #7) - (#17) -

( #8) - (#18) -

( #9) - (#19) -

(#10) - (#20) - *If you have more than twenty subcontracting opportunities, a continuation page is available at http://www.window.state.tx.us/procurement/prog/hub/hub-forms/HUBSubcontractingPlanContinuationPage1.doc

1. Texas A&M University-Corpus Christi reserves the right to ask for proof of “Good Faith Effort” when there is subcontracting opportunities. (Section 6 –A, B, &C) 2. NOTE that page 2 of the HSP forms must be replicated for each of the categories to be subcontracted by the respondent. 3. Be sure to sign Section 10. Failure to sign this section will cause your Competitive Sealed Proposal/Request For Proposal/Invitation For Bid to be Rejected.

Rev. 10/07

http://www.window.state.tx.us/procurement/prog/hub/hub-forms/HUBSubcontractingPlanContinuationPage1.doc



Enter your company’s name here: Solicitation #:

IMPORTANT: You must complete a copy of this page for each of the subcontracting opportunities you listed in SECTION 2. You may photocopy this page or download copies at http://www.window.state.tx.us/procurement/prog/hub/hub-forms/HUBSubcontractingPlanContinuationPage2.doc.

SECTION 3 - SUBCONTRACTING OPPORTUNITY Enter the line item number and description of the subcontracting opportunity you listed in SECTION 2. Line Item # Description:

SECTION 4 - MENTOR-PROTÉGÉ PROGRAM If respondent is participating as a Mentor in a State of Texas Mentor Protégé Program, submitting their Protégé (Protégé must be a State of Texas certified HUB) as a subcontractor to perform the portion of work (subcontracting opportunity) listed in SECTION 3, constitutes a good faith effort towards that specific portion of work. Will you be subcontracting the portion of work listed in SECTION 3 to your Protégé?

- Yes (If Yes, complete SECTION 8 and 10.) - No / Not Applicable (If No or Not Applicable, go to SECTION 5.)

SECTION 5 - PROFESSIONAL SERVICES CONTRACTS ONLY This section applies to Professional Services Contracts only. All other contracts go to SECTION 6.

Does your HSP contain subcontracting of 20% or more with HUB(s)? - Yes (If Yes, complete SECTION 8 and 10.) - No / Not Applicable (If No or Not Applicable, go to SECTION 6.)

In accordance with Gov’t Code §2254.004, “Professional Services" means services: (A) within the scope of the practice, as defined by state law of accounting; architecture; landscape architecture; land surveying; medicine; optometry; professional engineering; real estate appraising; or professional nursing; or (B) provided in connection with the professional employment or practice of a person who is licensed or registered as a certified public accountant; an architect; a landscape architect; a land surveyor; a physician, including a surgeon; an optometrist; a professional engineer; a state certified or state licensed real estate appraiser; or a registered nurse.

SECTION 6 - NOTIFICATION OF SUBCONTRACTING OPPORTUNITY Complying with a, b and c of this section constitutes Good Faith Effort towards the portion of work listed in SECTION 3. After performing

the requirements of this section, complete SECTION 7, 8 and 10.

a. Provide written notification of the subcontracting opportunity listed in SECTION 3 to three (3) or more HUBs. Use the State of Texas’ Centralized Master Bidders List (CMBL), found at http://www2.cpa.state.tx.us/cmbl/cmblhub.html, and its HUB Directory, found at http://www2.cpa.state.tx.us/cmbl/hubonly.html, to identify available HUBs. Note: Attach supporting documentation (letters, phone logs, fax transmittals, electronic mail, etc.) demonstrating evidence of the good faith effort performed.

b. Provide written notification of the subcontracting opportunity listed in SECTION 3 to a minority or women trade organization or development center to assist in identifying potential HUBs by disseminating the subcontracting opportunity to their members/participants. A list of trade organizations and development centers may be accessed at http://www.window.state.tx.us/procurement/prog/hub/mwb-links-1/. Note: Attach supporting documentation (letters, phone logs, fax transmittals, electronic mail, etc.) demonstrating evidence of the good faith effort performed.

c. Written notifications should include the scope of the work, information regarding the location to review plans and specifications, bonding and insurance requirements, required qualifications, and identify a contact person. Unless the contracting agency has specified a different time period, you must allow the HUBs no less than five (5) working days from their receipt of notice to respond, and provide notice of your subcontracting opportunity to a minority or women trade organization or development center no less than five (5) working days prior to the submission of your response to the contracting agency.

SECTION 7 - HUB FIRMS CONTACTED FOR SUBCONTRACTING OPPORTUNITY List three (3) State of Texas certified HUBs you notified regarding the portion of work (subcontracting opportunity) listed in SECTION 3. Specify the vendor ID number, date you provided notice, and if you received a response. Note: Attach supporting documentation (letters, phone logs, fax transmittals, electronic mail, etc.) demonstrating evidence of the good faith effort performed. Company Name VID # Notice Date

(mm/dd/yyyy) Was Response Received?

/ / - Yes - No / / - Yes - No / / - Yes - No

SECTION 8 - SUBCONTRACTOR SELECTION List the subcontractor(s) you selected to perform the portion of work (subcontracting opportunity) listed in SECTION 3. Also, specify the expected percentage of work to be subcontracted, the approximate dollar value of the work to be subcontracted, and indicate if the company is a Texas certified HUB.

Company Name VID # Expected % of Contract

Approximate Dollar Amount

Texas Certified HUB?

% $ - Yes - No*

% $ - Yes - No*

*If the subcontractor(s) you selected is not a Texas certified HUB, provide written justification of your selection process below:

Rev. 10/07


http://www2.cpa.state.tx.us/cmbl/cmblhub.html

http://www2.cpa.state.tx.us/cmbl/hubonly.html

http://www.window.state.tx.us/procurement/prog/hub/mwb-links-1/

Enter your company’s name here: Solicitation #:

SECTION 9 - SELF PERFORMANCE JUSTIFICATION (If you responded “No” to SECTION 2, you must complete SECTION 9 and 10.)

Does your response/proposal contain an explanation demonstrating how your company will fulfill the entire contract with its own resources?

- Yes If Yes, in the space provided below, list the specific page/section of your proposal which identifies how your company will perform the entire contract with its own equipment, supplies, materials and/or employees.

- No If No, in the space provided below, explain how your company will perform the entire contract with its own equipment, supplies, materials, and/or employees.

SECTION 10 - AFFIRMATION

As evidenced by my signature below, I affirm that I am an authorized representative of the respondent listed in SECTION 1, and that the information and supporting documentation submitted with the HSP are true and correct. Respondent understands and agrees that, if awarded any portion of the solicitation:

• The respondent must submit monthly compliance reports (Prime Contractor Progress Assessment Report – PAR) to the contracting agency, verifying their compliance with the HSP, including the use/expenditures they have made to subcontractors. (The PAR is available at http://www.window.state.tx.us/procurement/prog/hub/hub-forms/progressassessmentrpt.xls).

• The respondent must seek approval from the contracting agency prior to making any modifications to their HSP. If the HSP is modified without the contracting agency’s prior approval, respondent may be subject to debarment pursuant to Gov’t Code §2161.253(d).

• The respondent must, upon request, allow the contracting agency to perform on-site reviews of the company’s headquarters and/or work-site where services are to be performed and must provide documents regarding staff and other resources.

____________________________________ _________________________________ ___________________ ___________________

Signature Printed Name Title Date

Rev. 10/07

http://www.window.state.tx.us/procurement/prog/hub/hub-forms/progressassessmentrpt.xls

http://www.window.state.tx.us/procurement/prog/hub/hub-forms/progressassessmentrpt.xls

Historically Underutilized Businesses (HUB)

Subcontracting Plan

Information

Policy on Utilization of Historically Underutilized Businesses (HUBs)

I. In accordance with the Texas Government Code, Sections 2161.181-182 and Texas Administrative Code (TAC) 34 TAC Section §20.11, state agencies shall make a good faith effort to utilize Historically Underutilized Businesses (HUBs) in contracts for construction services, including professional and consulting services and commodities contracts. Comptroller of Public Accounts HUB Rules, in 34 TAC Sections §20.11-§20.28 encourages the use of HUBs by implementing these policies through race, ethnic and gender-neutral means.

The purpose of the HUB Program is to promote full and equal business opportunities for all businesses in State contracting in accordance with the goals specified in the State of Texas Disparity Study. The HUB goals per TAC §34 20.13; Subchapter B are listed below. Note: These percentages only show what the State of Texas Goals are for the year and are not intended for vendor’s to use as a guideline when filling out their HSP. Please have the person filling in the Plan contact the HUB Coordinator for help and additional information. Training sessions for this are available.

1. 11.9% for heavy construction other than building contracts; 2. 26.1% for all building construction, including general contractors and operative builders

contracts; 3. 57.2% for all special trade construction contracts; 4. 20% for professional services contracts; 5. 33% for all other services contracts; and 6. 12.6% for commodities contracts. A Historically Underutilized Business (HUB) is defined by statute as an entity with its principal place of business in this state that is: (a) a corporation formed for the purpose of making a profit in which at least 51% of all classes of the shares of stock or other equitable securities are owned by one or more persons who are economically disadvantaged because of their identification as members of certain groups, including African Americans, Hispanic Americans, women, Asian Americans and Native Americans and have suffered the effects of discriminatory practices or similar insidious circumstances over which they have no control; and have a proportionate interest and demonstrate active participation in the control operation and management of the corporation’s affairs; (b) a sole proprietorship created for the purpose of making a profit that is 100% owned, operated, and controlled by a person described in subdivision (a) of the subsection; (c) a partnership formed for the purpose of making a profit in which 51% of the assets and interest in the partnership is owned by one or more persons and demonstrate active participation in the control, operation and management of the partnership’s affairs; (d) a joint venture in which entity in the joint venture is a HUB under this subsection; or, (e) a supplier contract between a HUB under this subsection and a prime contractor under which the HUB is directly involved in the manufacture or distribution of the supplies or materials or otherwise warehouses and ships the supplies. TAMU-CC shall make a good faith effort to meet or exceed the State of Texas Disparity Study goals and to assist HUBs in receiving a portion of the total contract value of all contracts that the agency expects to award in a fiscal year. It is the policy of TAMU-CC to contract directly with HUBs or indirectly through subcontracting opportunities in accordance with the Texas Government Code, Chapter 2161, Subchapter F and Comptroller of Public Accounts HUB Rules, TAC Section § 20.14.

The total expected value of this contract is $100,000 or more and TAMU-CC has determined that subcontracting opportunities are probable for this contract. Therefore, the Respondent is required to submit a HUB Subcontracting Plan (HSP) with their proposal. The Respondents will use the procedures prescribed in Article II when developing the HSP. All Respondents must give clear evidence that good faith effort was made to comply with the HUB requirements identified in TAC §20.14, and the HSP shall include the documents shown in Article II, Paragraphs 4.b.i, ii. The Owner will review the information/documentation and use it as a basis to determine if a good faith effort was made by the Respondent to utilize HUB subcontractors/suppliers on this contract. If it is determined that a good faith effort was not made, the Respondent’s submittal/proposal will be determined to be non-responsive and the submittal/proposal shall be rejected and the reasons for rejection recorded in the project files. An accepted HUB Subcontracting Plan will become a part of any contract with the Respondent resulting from this solicitation and then can only be modified by contract change order. If the Respondent can perform and intends to complete all subcontracting opportunities with its own employees and resources without using any subcontractors, the HSP submitted with the Respondent’s submittal/proposal shall only include the documents shown in Article II, Paragraphs 4.c.i, ii.

II. HUB SUBCONTRACTING PLAN (HSP) PROCEDURES

The following procedures are specified pursuant to the Comptroller of Public Accounts HUB Rules, 34 TAC, Sections §20.13-§20.14:

1. Texas A&M University-Corpus Christi (TAMU-CC), when entering into a contract

with an expected value of $100,000 or more shall, before the agency solicits bids, proposals, offers, or other applicable expressions of interest, determine if it is probable for subcontracting opportunities under the contract.

2. If subcontracting opportunities are not probable, TAMU-CC’s bids, proposals, offers, or other applicable expression of interest shall include a statement attesting that it has determined that subcontracting opportunities are not probable under the contract.

3. If subcontracting opportunities are probable, TAMU-CC shall state such probability in its announcements for bids, proposals, offers, or other applicable expression of interest and require the submission of a HUB Subcontracting Plan (HSP). The HSP will become a provision of a contract, if awarded by the Owner.

4. Required documentation for an HUB Subcontracting Plan: a. A HSP is required as part of bids, proposals, offers, or other applicable

expression of interest valued at $100,000 or more. Responses that do not include the HSP or if the agency determines that the HSP was not developed in good faith shall be rejected as a material failure to comply with the advertised specifications.

b. When TAMU-CC has determined that subcontracting opportunities are probable,

Respondent’s bids, proposals, offers, or other applicable expression of interest will include:

i. Letter of transmittal attesting that the respondent has read and

understands the Policy on Historically Underutilized Businesses (see Attachment A of the HSP);

ii. State of Texas Historically Underutilized Business Subcontracting Plan explaining how the respondents made a good faith effort in the development of the HSP and identify the HUBs and non-HUBs that will be utilized for subcontracting opportunities (See State of Texas HSP Form).

c. When TAMU-CC has determined that subcontracting opportunities are probable,

but the respondent can perform and intends to complete all the subcontracting opportunities with its employees and resources without any subcontractors, the HSP shall include: i. Letter of transmittal attesting that the respondent has read and

understands TAMU-CC’s Policy on HUBs; and ii. Self Performance form which attests that the respondent shall perform

the subcontracting opportunities identified by the agency, with its own employees and resources (See State of Texas HSP Form, page 3, Sections 9 and 10).

Note: If the contractor decides after the award to subcontract any part of the contract, the contractor must notify TAMU-CC. The contractor must comply with the good faith effort requirements relating to developing and submitting a subcontracting plan before any modifications or performance of the awarded contract involving subcontracting can be authorized by TAMU-CC.

5. TAMU-CC shall require a respondent to state whether it is a Texas certified HUB.

6. To meet TAMU-CC’s good faith effort requirements, the respondents shall follow, but

is not limited to, procedures listed below when developing an HSP:

a. Divide the contract work into reasonable portions to the extent consistent with

prudent industry practice. b. Provide written justification of the selection process if a non-HUB subcontractor

is selected.

c. Provide written notice to minority or women trade organizations or development centers that assist in identifying HUBs by disseminating subcontracting opportunities to their membership/participants. The notice shall, in all instances, include the scope of work, information regarding location to review plans and specifications, information about bonding and insurance requirements, and identify a contact person. Respondent must provide notice to organizations or development centers not less than five (5) working days prior to submission of the response (bid, proposal, offer, or other applicable expression of interest).

d. Notify HUBs of the subcontracting opportunities that the respondent intends to

subcontract. The preferable method of notification shall be in writing. The notice shall, in all instances, include the items contained in paragraph 6.c above. The notice shall be provided to potential HUB subcontractors prior to submission

of the respondent’s response.

e. The respondent shall provide potential HUB subcontractors reasonable time to

respond to the respondent’s notice. “Reasonable time to respond” in this context is no less than five (5) working days from receipt of notice, unless circumstances require a different time period, which is determined by the agency and documented in the contract file.

f. The respondent shall use the State of Texas Centralized Master Bidders List

(CMBL), HUB Directory, internet resources, and/or other directories as identified by the TPASS or TAMU-CC HUB Program when searching for HUB subcontractors. Respondent may rely on the services of minority, women, and community organizations, contractor groups, local, state, and federal business assistance offices, and other organizations that provide assistance in identifying qualified applicants for the HUB program who are able to provide all or select elements of the HUB subcontracting plan.

NOTE: A complete list of all State of Texas certified HUBs may be electronically accessed through the Internet at


g. The respondent shall provide the notice described in this section to three (3) or

more HUBs for each subcontracting opportunity that provide the type of work required for each subcontracting opportunity identified in the contract specifications or any other subcontracting opportunity the respondent cannot complete with its own equipment, supplies, materials, and/or employees. TAMU-CC encourages respondents to seek and find a “Diverse Group” of Historically Underutilized Businesses in each category in which a subcontract of services is solicited.

h. Documentation showing correspondence between prime and potential HUB

subcontractors includes but not limited to contact information, date of delivery confirmation, etc.

7. In making a determination whether a good faith effort has been made in the development of the required HUB subcontracting plan, TAMU-CC shall require the respondent to submit supporting documentation explaining the ways the respondent has made a good faith effort according to each criterion listed above. The documentation shall include at least the following: a. Whether the respondent divided the contract work into reasonable portions in

accordance with prudent industry practices. b. Whether the respondent sent notices containing adequate information about

bonding, insurance, the plans, the specifications, scope of work, and other requirements of the contract to three(3) or more qualified HUBs for each subcontracting opportunity allowing reasonable time for HUBs to participate effectively.


c. Whether the respondent negotiated in good faith with qualified HUBs, not

rejecting qualified HUBs who were also the best value responsive bidder.

d. Whether the respondent provided notice to minority or women trade

organizations or development centers that assist in identifying HUBs by disseminating opportunities to their membership/participants.

e. A list of all vendors, including HUBs not listed in the HSP form who responded.

8. The submission of a protégé as a subcontractor in the HSP, when the respondent is a participant in a Mentor Protégé Program under the Texas Government Code §2161.065, will constitute a good faith effort for the particular work to be subcontracted with the protégé. The respondent must submit a copy of the Mentor Protégé Agreement that has been entered into by the respondent (mentor) and a certified HUB (protégé) as part of their HSP. The Mentor Protégé Agreement must be a fully executed agreement that has been registered with TPASS prior to submitting the HSP. The HSP must also identify the work that will be performed by the protégé.

9. Prior to contract award, the HSP and supporting documentation shall be reviewed and evaluated by the HUB Coordinator to determine if a good faith effort has been made in accordance with bid specifications and Comptroller of Public Accounts HUB rules. If accepted, the HSP shall become a provision of the TAMU-CC contract. Any change in a subcontractor or vendor, as requested by the Respondent, should not reduce the HUB participation level presented in the initial proposal offering without proper justification.

10. If the HUB Coordinator determines that a submitted HSP was not developed in good faith, the HUB Coordinator shall treat the lack of good faith as a material failure to comply with advertised specifications, and the subject bid or other response shall be rejected. The reason(s) for rejection shall be recorded in the procurement file.

11. If at any time during the term of the contract, it becomes necessary to make a change to the approved HSP, such proposed change must be received for review and approval by the HUB Coordinator before the change will be effective under the contract. The contractor must comply with provisions of TAC §20.14 relating to development and evaluation of HSP, in order to substitute or subdivide the work and/or substitute or add subcontractors prior to any alteration of the HSP. TAMU-CC shall document changes to the HSP by contract change order. The reasons for proposed change(s) shall be requested on a Form C-27b Consultant/Subcontractor Substitution Form and recorded in the procurement file. This form may be downloaded from http://purchasing.tamucc.edu/purchasing_HUB_forms.htm In the event that a change is necessary, the requested changes should not reduce the level of HUB participation that was a part of the proposal at the time of construction contract award without proper justification.

12. If a respondent has determined that it can perform all of the contract, the respondent must sign an affidavit (State of Texas HUB Form, page 3, Sections 9 and 10) and provide a statement explaining how the respondent intends to complete the contract

http://purchasing.tamucc.edu/purchasing_HUB_forms.htm

with its own equipment, supplies, materials and/or employees submitted with the respondent’s bid, proposal, offer, or other expression of interest.

If a respondent has determined it will perform all work with its own equipment, supplies, materials, and/or employees, etc., the respondent must agree to provide the following if requested by TAMU-CC: a. evidence of existing staffing to meet contract objectives, b. monthly payroll records showing company staff fully engaged in the contract, c. onsite reviews of company headquarters or work site where services are to be

performed, and d. documentation proving employment of qualified personnel holding the necessary

licenses and certificates required to perform the work. If the contractor selected decides to subcontract any part of the contract after the award, the contractor must comply with provisions of this document relating to developing and submitting a subcontracting plan prior to any modifications or performance involving subcontracting work can be authorized by TAMU-CC. If the Contractor subcontracts any of the work without prior authorization and without complying with TAC Section §20.14, the contractor is deemed to have breached the contract and be subject to any remedial actions provided by Texas Government Code, Chapter 2161, and TAC §20.14. TAMU-CC may report non-performance relative to its contracts to the Comptroller of Public Accounts in accordance with TAC Chapter §113, Subchapter F (relating to the Vendor Performance and Debarment Program).

13. The contractor will be required to submit a revised HSP for additional subcontracting opportunities that were not identified in the original HSP and created when the original scope of work expands through a change order, contract amendment or a contract renewal.

14. TAMU-CC requires a respondent to whom a contract has been awarded, to report to TAMU-CC the identity and the amount paid to its subcontractors, HUBs and non-HUBs. If the contractor fails to fulfill the HSP specified in the contract, TAMU-CC shall notify the contractor of any deficiencies. TAMU-CC shall require the contractor to submit documentation and explain why the failure to fulfill the HUB Subcontracting Plan should not be attributed to a lack of good faith effort by the contractor.

15. If a determination is made that the contractor failed to implement the HSP in good faith, TAMU-CC, in addition to any other remedies, may report nonperformance to the Comptroller of Public Accounts in accordance with TAC, Chapter 113, Subchapter F (relating to Vendor Performance and Debarment Program).

Reporting Requirements Each contractor that enters into a contract shall report to TAMU-CC all subcontracting/supplier payments. The report will include the volume of work performed under the contract, the portion of the work that was performed with its own employees/resources, HUB and Non-HUB subcontractors and suppliers (See HSP Prime Contractor Progress Assessment Report Form, Attachment B-2 of the HSP). TAMU-CC may request payment documentation in accordance with the Comptroller of Public Accounts HUB Rules that confirms the performance of the contractor. During the course of the contract,

TAMU-CC shall discuss the performance of the contractor and document the contractor performance in the contract file. Note: When the prime contractor/vendor is a HUB, it must perform at least 25% of the total value of the contract with its own or leased employees, as defined by the Internal Revenue Service, in order for the Owner to receive 100% HUB credit for the entire contract. If a HUB prime contractor’s HSP identifies that it is planning to perform less than 25% of the total value of contract with its own or leased employees, the HUB contractor must report to the Owner the value of the contract that was actually performed by the HUB prime contractor and the amount to be performed by its HUB subcontractors. The HUB Coordinator shall audit the contractor’s compliance with the HSP. If the contractor is found deficient, TAMU-CC shall give the contractor an opportunity to submit documentation and explain to TAMU-CC why the failure to fulfill the HSP should not be attributed to a lack of good faith effort by the contractor.

HUB Subcontracting Plan

Summary of Attachments Required from Respondents

Letter of Transmittal/ Commitment

HUB Subcontracting

Plan (HSP)

Progress Assessment Report (PAR)

1.Texas A&M University – Corpus Christi DETERMINES THAT SUBCONTRACTING OPPORTUNITIES ARE PROBABLE.

1.A. Competitive Sealed Proposal (CSP)/Request For Proposal (RFP) Respondent Proposes Sub consultants: Attachments required from the Respondent for the HUB Subcontracting Plan if the solicitation states that subcontracting opportunities are probable

X

X

1.B. Competitive Sealed Proposal (CSP)/Request For Proposal (RFP) Respondent Proposes Self-Performance: Attachments required from the Respondent for the HUB Subcontracting Plan if the solicitation states that subcontracting opportunities are probable but the Respondent can perform such opportunities with its employees and resources.

X

X

2.Texas A&M University – Corpus Christi DETERMINES THAT SUBCONTRACTING OPPORTUNITIES ARE NOT PROBABLE

(Use only for when Contractor will be SELF-PERFORMING)

(SUBMIT ON YOUR BUSINESS LETTERHEAD) Date Carolyn M. Koski HUB Coordinator Texas A&M University – Corpus Christi 6300 Ocean Drive, Unit 5731 Corpus Christi, TX 78412-5731 Subject: HUB Subcontracting Plan

Project Number: Project Name:

Dear Ms. Koski: I am pleased to forward this HUB Subcontracting Plan as an integral part of our written response submitted in connection with your Competitive Sealed Proposal/Request For Proposal /Invitation For Bid solicitation for Project Number: I have read and understand the Texas A&M University-Corpus Christi’s Policy on Utilization of Historically Underutilized Businesses (HUBs) and the goals for HUB participation. At this time , does not anticipate any subcontracting opportunities due to using its’ own resources identified on Section 9 of the subcontracting plan. Sincerely, (Signature) (Printed Name) (Printed Title)

(Use only when there will be SUBCONTRACTING) (SUBMIT ON YOUR BUSINESS LETTERHEAD)

Date Carolyn M. Koski HUB Coordinator Texas A&M University – Corpus Christi 6300 Ocean Drive, Unit 5731 Corpus Christi, TX 78412-5731 Subject: HUB Subcontracting Plan

Project Number: Project Name:

Dear Ms. Koski: I am pleased to forward this HUB Subcontracting Plan as an integral part of our written response submitted in connection with your Competitive Sealed Proposal/Request For Proposal /Invitation For Bid solicitation for Project Number: I have read and understand the Texas A&M University-Corpus Christi’s Policy on Utilization of Historically Underutilized Businesses (HUBs) and the goals for HUB participation. This HUB Subcontracting Plan includes ____ Subcontracting Opportunities representing ____ with a total dollar value of ______. These figures represent a cumulative percentage of ____%, representing ___% for minority-owned HUBs, ____% for women-owned HUBs, and ____% for non-HUBs. When a HUB is owned by minority women, I have classified that HUB as minority-owned rather than women-owned. By completion of Section 8 of the HUB Subcontracting Plan, I affirm my intent to utilize the subcontractors selected to perform the scope of work to be subcontracted. Should we discover additional subcontractors claiming HUB status during the course of this contract we will notify you of the same. In addition, if for some reason a subcontractor is unable to fulfill its contract with us, we will notify you immediately in order to take the appropriate steps to amend this contractual obligation. Sincerely, (Signature) (Printed Name) (Printed Title)

HUB ASSESSMENT FORM

HUB Office BID/RFP/CSP NO: RFP 1-0006_ DATE: May 13, 2011 PROJECT NAME: Perkins Loan Management The purpose of the HUB Program is to promote full and equal business opportunities for all businesses in state contracting. Texas A&M University – Corpus Christi has determined that subcontracting opportunities are probable for this project. The vendor is responsible to determine and designate all areas of subcontracting, if any, regardless of the University’s determination.

For subcontracting contacts, visit the CMBL, at http://www.window.state.tx.us/procurement/ 1. On the right hand side in box titled “Most Popular” click on CMBL Search 2. Under “Search” click on HUBs on CMBL 3. In the section that says “Selection 1”, enter the commodity code and item number 4. Submit search

http://www.window.state.tx.us/procurement/

TAMU-CC C-6 08/02/10

PERFORMANCE BOND STATE OF TEXAS COUNTY OF NUECES KNOW ALL MEN BY THESE PRESENTS

That we, , as Principal, and , as Surety, are hereby held and firmly bound unto the State of Texas in the penal sum of: Dollars ($ ) for the payment whereof, the said Principal and Surety bind themselves, their heirs, executors, administrators and successors, jointly and severally, firmly by these presents.

The conditions of this obligation are such that, whereas the Principal entered into a certain contract (the“Contract”), which Contract is incorporated into this Performance Bond by this reference, with the State of Texas acting by and through the Board of Regents of The Texas A&M University System, as Obligee, dated for the . Project No. .

NOW, THEREFORE, if the Principal shall faithfully perform the Contract in accordance with the Contract Documents, including any warranties, and shall fully indemnify, and save harmless the State of Texas from all costs and damage that the State of Texas may suffer by reason of the Principal’s default or failure to perform and shall fully reimburse and repay the State of Texas all outlay and expense that the State of Texas may incur in making good any such default or failure to perform, then this obligation shall be null and void, otherwise it shall remain in full force and effect.

In the event the Principal is declared in default under the Contract, Surety will, within fifteen (15) days of the

determination of such default, take over and assume responsibility for completion of such Contract and become entitled to the payment of the balance of the Contract Price, or the Surety shall make other arrangements satisfactory to the Obligee for the completion of the defaulted Work. Conditioned upon the Surety’s faithful performance of its obligations, the Surety’s liability shall not exceed the penalty of this Bond.

The Surety, for value received, hereby stipulates and agrees that no change, extension of time, alteration or addition to the terms of the Contract or to the Work to be performed under the Contract or to the Specifications accompanying the same shall in any manner affect its obligation on this Performance Bond, and it does hereby waive notice of any such change, extension of time, alteration or addition to the terms of the Contract or to the Work or to the Specifications.

The Surety agrees to pay to the State of Texas upon demand all loss and expenses, including attorney’s fees and court costs, incurred by the State of Texas by reason of or on account of any breach of this obligation by the Surety.

This Bond is issued pursuant to the requirements of Section 2253.021, Texas Government Code, as amended.

IN WITNESS WHEREOF, the Principal and Surety have executed and sealed this instrument this

_________ day of _____________________, 200_____. _______________________________________, Principal (PRINCIPAL’S SEAL if a corporation) By: Name: Title: __________________________________________, Surety (SURETY’S SEAL) By: Name:

Attorney-in-Fact