ISSUED BY
NEW MEXICO PUBLIC REGULATION COMMISSION
REQUEST FOR PROPOSALS
FOR THE PROVISION OF
PROFESSIONAL SERVICES TO REVIEW THE NEW MEXICO PUBLIC REGULATION COMMISSION’S ENERGY EFFICIENCY, RENEWABLE
ENERGY, AND INTEGRATED RESOURCE PLANNING RULES AND TO RECOMMEND CHANGES TO STREAMLINE THE PROCESSES
RFP #: ____________
New Mexico Public Regulation Commission
1120 Paseo de Peralta
Santa Fe, NM 87504-1269
ISSUE DATE: _______________
DUE DATE: _______________
TABLE OF CONTENTS
I.INTRODUCTION .......................................................................................................................................................................... 3
A.Purpose Of This Request For Proposals ........................................................................................................................................ 3
B.Summary Scope Of Work ........................................................................................................................................................... 3
C.Scope Of Procurement
........................................................................................................................................................... 5
D.Procurement Manager
........................................................................................................................................................... 5
E.Definition Of Terminology ........................................................................................................................................................... 6
F.Background Information ........................................................................................................................................................... 8
II.CONDITIONS GOVERNING THE PROCUREMENT ............................................................................................................... 9
A.Sequence Of Events
B.Explanation Of Events
C.General Requirements
9
10
13
III.RESPONSE FORMAT AND ORGANIZATION ...................................................................................................................... 20
A.Number Of Responses ................................................................................................................................................................. 20
B.Number Of Copies ....................................................................................................................................................................... 20
C. Proposal Format .......................................................................................................................................................................... 20
IV. SPECIFICATIONS ................................................................................................................................................................... 23
A.Mandatory Specifications ............................................................................................................................................................ 23
B.Desirables .................................................................................................................................................................................... 26
C.Other Information ........................................................................................................................................................................ 27
V.EVALUATION 31
A.Evaluation Point Summary .......................................................................................................................................................... 31
B.Evaluation Factors ....................................................................................................................................................................... 33
C.Evaluation Process ....................................................................................................................................................................... 34
VI.APPENDICES ......................................................................................................................................................................... 36
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I. INTRODUCTION
A. PURPOSE OF THIS REQUEST FOR PROPOSALS
The New Mexico's Public Regulation Commission (NMPRC or Commission) is requesting proposals for professional services (Contractor) to conduct
a review of the NMPRC’s energy efficiency (EE), renewable energy (RE), and integrated resource planning (IRP) rules, applicable New Mexico
statutes, other selected states’ EE/RE/IRP processes and interviews with New Mexico stakeholders. After completing these tasks, the Contractor is to
apply its expertise and experience to recommend and provide specific changes to the NMPRC’s rules to streamline the NMPRC’s related processes.
The Contractor’s specific amending recommendations to the NMPRC’s rules are not to require any changes be made or be contingent on changes
being made to New Mexico’s existing statutes in order to facilitate implementation by the Commission.
The NMPRC seeks recommendations to change its rules whereby:
1) the NMPRC’s EE, RE and IRP processes would become more streamlined by reducing application development, review and approval time and
associated costs, regulatory costs incurred to determine the amounts to be recovered from ratepayers and related allocations; and
2) the timing of how the NMPRC administers EE, RE and/or IRP New Mexico statutory required application filings, reviews and/or hearings and
associated compliance filings and related processes would become more coordinated and less duplicative, resulting in less activities needing to be
undertaken by all stakeholders and in less costs being incurred by all stakeholders.
The Commission also seeks suggestions for possible statutory changes that would enable the Commission to further improve the processes if it had
applicable legal authority to amend the EE, RE and/or IRP processes on its own or if it was mandated to do so by the legislature.
Relevant materials will be provided to the Contractor at commencement of the engagement and Commission staff will assist the Contractor in
arranging for interviews and in other logistics as required.
B. SUMMARY SCOPE OF WORK
Scope
The Contractor will perform the following work:
Step 1 Review New Mexico EE, RE and IRP statutes and Commission rules and recent case docket material, and related process timing or reporting
schedules. Review selected states’ public regulation commission rules related to EE, RE and IRP that are considered to have regulatory
sufficient and streamlined processes.
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Step 2 Disseminate information obtained in Step 1 to New Mexico EE, RE and IRP stakeholders, seek the input of the stakeholders and consider their
input on the following topics:

Process areas and process timing or reporting schedules whereby significant modifications or changes could be implemented to reduce
redundancy, ambiguity, contentiousness and overall cost of processing the cases.

Process areas where significant efficiency could be obtained by reducing the review and approval timeframes and administrative efforts.
Among other ideas one topic area shall include the possibility of changing the plan approval process from a single plan-year approval
process to an approval process encompassing a multi-year plan.
Step 3 Identify filing, review and approval processes and scheduling requirements that, in contractor’s view, represent best practices that could be
adopted by the NMPRC to streamline its processes, obtain efficiencies and still achieve the stated goals of the Commission’s EE, RE and IRP
rules and comports with New Mexico’s statutes. Develop tables comparing New Mexico’s current requirements with the identified best
practices.
Step 4 Produce a preliminary report based on Steps 1-3 describing the desired end-state for the EE, RE and IRP filing, review and approval processes
that would not require changes to New Mexico statutes for NMPRC implementation.
Step 5 Produce and provide a final report that:
a. specifies recommended process improvements, schedule or calendar date changes for the EE, RE and IRP filing, review and approval
processes and changes to the NMPRC’s rules that would not require the amendment of any New Mexico statutes for NMPRC
implementation; and
b. includes and suggests possible New Mexico statutory changes that would enable the Commission to further improve the processes if
it had applicable legal authority to amend the process or if it was mandated to do so by the legislature.
Step 6 Contractor should anticipate attending one public meeting in Santa Fe where the final report can be presented to the Commission and to the
public.
NMPRC staff will provide assistance if sought by the contractor to identify relevant New Mexico statutes and NMPRC rules for contractor to review.
Commission offices will be made available for Contractor use. Commission staff and Contractor shall jointly develop the list of other states’ programs that
will be reviewed in Step 1. Commission staff will provide the stakeholder contact information for Step 2.
Contractor should anticipate attending one public meeting in Santa Fe where the final report can be presented to the Commission and to the public.
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SCHEDULE
Step 2 of the SOW should be delivered no later than 4 weeks after the commencement of the project.
The preliminary report, described in Step 4, should be delivered no later than 10 weeks after the commencement of the project.
The final report, described in Step 5, should be delivered no later than 12 weeks after the commencement of the project.
A public meeting (Step 6) will be scheduled within 2 weeks of the delivery of the final report.
The entire project should be completed no later than November 15, 2012.
C. SCOPE OF PROCUREMENT
The scope of procurement shall encompass the defined Scope of Work, detailed in Sample Professional Services Contract, Appendix B and Scope of
Work (Attachment 1) in this RFP. The contract is scheduled to begin on mmmm dd, 2012, or upon receiving all required approvals and
authorizations and all aspects must be completed by December 31, 2012. This procurement will result in a single source award.
D. PROCUREMENT MANAGER
The Commission has designated a Study Manager and a Procurement Manager who are responsible for the conduct of this procurement whose name,
address and telephone numbers are listed below.
Study Manager:
Mr. Marc Martinez
Economist
PERA Building – Room 335
1120 Paseo de Peralta
PO Box 1269
Santa Fe, NM 87504-1269
(505) 827-5858
marc.martinez1@state.nm.us
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Procurement Manager:
Mr. Matthew Lovato
Chief Financial Officer
Public Regulation Commission of New Mexico
PERA Building – Room 335
1120 Paseo de Peralta
PO Box 1269
Santa Fe, NM 87504-1269
(505) 827-4042
Fax (505) 827-4068
matthew.lovato@state.nm.us
All reports should be delivered via express carrier should be addressed to the Study Manger. The proposal and all invoices and procurement questions
of a financial nature shall be made in writing and shall be delivered via express courier (including postal delivery) to the Procurement Manager.
All changes in scope if the Commission so determines, shall be reduced in writing by the Procurement Manager and will not be effective until
delivered by the Procurement Manager to the Consultant. Only the Procurement Manager has the authority to amend or otherwise modify this
procurement.
E. DEFINITION OF TERMINOLOGY
This section contains definitions and abbreviations that are used throughout this procurement document.
“Commission” “or NMPRC” means the New Mexico Public Regulation Commission.
"Contract" means a written agreement for the procurement of items of tangible personal property or services.
"Contractor" or “Consultant” means a successful Offeror who enters into a binding contract.
"Determination" means the written documentation of a decision by the Procurement Manager including findings of fact supporting a decision. A
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determination becomes part of the procurement file.
"Desirable". The terms "may", "can", "should", "preferably", or "prefers" identify a desirable or discretionary item or factor (as opposed to "mandatory”).
"Evaluation Committee" means a body appointed by the Commission management to perform the evaluation of Offeror proposals.
"Evaluation Committee Report" means a document prepared by the Procurement Manager and the Evaluation Committee for submission to the NMPRC
for contract award. It contains all written determinations resulting from the procurement.
"Finalist" is defined as an Offeror who meets all the mandatory specifications of this Request for Proposals and whose score on evaluation factors is
sufficiently high to merit further consideration by the Evaluation Committee.
"Mandatory". The terms "must", "shall", "will", "is required", or "are required", identify a mandatory item or factor (as opposed to “desirable”). Failure to
meet a mandatory item or factor will result in the rejection of the Offeror's proposal.
"Offeror" is any person, corporation, or partnership who chooses to submit a proposal.
"Procurement Manager" means the person or designee authorized by the Commission to manage or administer a procurement requiring the evaluation of
competitive sealed proposals.
"Request for Proposals" or "RFP" means all documents, including those attached or incorporated by reference, used for soliciting proposals.
"Responsible Offeror" means an Offeror who submits a responsive proposal and who has furnished, when required, information and data to prove that his
financial resources, production or service facilities, personnel, service reputation and experience are adequate to make satisfactory delivery of the services
or items of tangible personal property described in the proposal.
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"Responsive Offer" or "Responsive Proposal" means an offer or proposal which conforms in all material respects to the requirements set forth in the
request for proposals. Material respects of a request for proposals include, but are not limited to, price, quality, quantity or delivery requirements.
“Study Manager” means the technical lead for the Commission.
F. BACKGROUND INFORMATION
NA
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II.
CONDITIONS GOVERNING THE PROCUREMENT
This section of the RFP contains the schedule for the procurement, describes the major procurement events and the conditions governing the procurement.
The Procurement Manager will make every effort to adhere the following schedule:
A. SEQUENCE OF EVENTS
Action
Responsibility
Date
1.
Issue RFP
Commission
5/16/2012
2.
Distribution List Response
Potential Offerors
5/22/2012
3.
Deadline to Submit
Written Questions
Potential Offerors
5/24/2012
4.
Response to Written
Questions/RFP Amendments
Commission
5/31/2010
5.
Submission of Proposal
Offeror
6/11/2012
6.
Proposal Evaluation
Evaluation Committee
6/18/2012
7.
Selection of Finalists
Evaluation Committee
6/21/2012
8.
Oral Presentation by Finalists
Offeror
9.
Finalize Contract
Commission, Offeror
7/11/2012
10.
Contract Award
Commission
7/19/2012
11.
Protest Deadline
Offeror
8/1/2012
6/28/2012
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B. EXPLANATION OF EVENTS
The following paragraphs describe the activities listed in the sequence of events shown in Section II, Paragraph A.
o
Issue RFP
This RFP is being issued by the NMPRC.
o
Distribution List Response Due
Potential Offerors should send via email, hand deliver or return by facsimile or by registered or certified mail the "Acknowledgement of Receipt
of Request For Proposals Form" that accompanies this document (See Appendix A) to have their organization placed on the procurement
distribution list. The form should be signed by an authorized representative of the organization, dated and returned by close of business on May
22, 2012.
The procurement distribution list will be used for the distribution of written responses to questions and any RFP amendments.
Failure to return this form shall constitute a presumption of receipt and rejection of the RFP, and the potential Offeror's organization name shall
not appear on the distribution list.
o
Deadline to Submit Written Questions
Potential Offerors may submit written questions as to the intent or clarity of this RFP until close of business on May 24, 2012. All written
questions must be submitted via e-mail to the Procurement Manager (See Section I, Paragraph D).
o
Response to Written Questions/RFP Amendments
Written responses to written questions and any RFP amendments will be distributed on May 31, 2012 via email to all potential Offerors whose
organization name appears on the procurement distribution list. An Acknowledgement of Receipt Form will accompany the distribution package.
The form should be signed by the Offeror's representative, dated, and hand-delivered or returned by facsimile or by registered or certified mail by
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the date indicated thereon. Failure to return this form shall constitute a presumption of receipt and withdrawal from the procurement process.
Therefore, the Offeror's organization name shall be deleted from the procurement distribution list.
Additional written requests for clarification of distributed answers and/or amendments must be received by the Procurement Manager no later
than two (2) days after the answers and/or amendments were issued.
o
Submission of Proposal
ALL OFFEROR PROPOSALS MUST BE RECEIVED FOR REVIEW AND EVALUATION BY THE PROCUREMENT MANAGER OR
DESIGNEE NO LATER THAN 3:00 PM MOUNTAIN STANDARD TIME ON JUNE 11, 2012. Proposals received after this deadline will
not be accepted. The date and time of receipt will be recorded on each proposal. Proposals must be addressed and delivered to the Procurement
Manager at the address listed in Section I, Paragraph D, which is as follows:
Mr. Matthew Lovato
Chief Financial Officer
Public Regulation Commission of New Mexico
PERA Building – Room 335
1120 Paseo de Peralta
PO Box 1269
Santa Fe, NM 87504-1269
(505) 827-4042
Fax (505) 827-4068
matthew.lovato@state.nm.us
Proposals must be sealed and labeled on the outside of the package to clearly indicate your firm’s name(s) and that they are in response to the
AUDIT AND PRUDENCE REVIEW PROFESSIONAL SERVICES Request for Proposals. Proposals submitted by facsimile or other
electronic means will not be accepted. The sealed cost proposal must be sent in a separate envelope sealed and marked AUDIT AND
PRUDENCE REVIEW SEALED COST PROPOSAL.
A public log will be kept of the names of all Offeror organizations that submitted proposals. Pursuant to Section 13-1-116 NMSA 1978, the
contents of any proposal shall not be disclosed to competing Offerors prior to contract award.
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o
Guidelines for Submission
By submitting a proposal, interested parties are acknowledging:
This RFP is a request for professional audit and prudence review services for EPE fuel clause filings and related processes and documentation.
By submitting a proposal, the Offeror agrees that the bidder has carefully considered the nature and scope of this project.
Offerors may form teams to bid on the scope of work contained in this RFP. If a team approach is used, all subcontractor firms must be identified
in the bidder’s proposal. The Offeror responding to this RFP certifies that the Offeror will serve as the Prime Contractor.
Offeror agrees that their pricing is valid for a minimum of 180 days after proposal submission to the Commission and once the contract is
executed, pricing remains valid for the length of the contract.
Offeror agrees to adhere to the General Terms and Conditions listed in this RFP.
o
Proposal Evaluation
The evaluation of proposals will be performed by an evaluation committee appointed by the Commission. During this time, the Procurement
Manager may initiate discussions with Offerors who submit responsive or potentially responsive proposals for the purpose of clarifying aspects of
the proposals, but proposals may be accepted and evaluated without such discussion. Discussions SHALL NOT be initiated by the Offerors.
o Selection of Finalists
Only finalists will be invited to participate in the subsequent steps of the procurement. The schedule for the oral presentations will be determined
at this time.
o
Oral Presentation by Finalists
Finalist Offerors may be required to present their proposals to the Evaluation Committee. The Procurement Manager will schedule the time for
each Offeror presentation. All Offeror presentations will be held at a location in Santa Fe, New Mexico to be determined. Each presentation will
be limited to two (2) hours in duration.
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o
Finalize Contract
The contract will be finalized with the most advantageous Offeror. In the event that mutually agreeable terms cannot be reached within the time
specified, the Commission reserves the right to finalize a contract with the next most advantageous Offeror without undertaking a new
procurement process as needed until a final contract can be reached.
o
Contract Award
After review of the Evaluation Committee Report, the NMPRC will award the contract on July 19, 2012. This date is subject to change at the
discretion of the NMPRC.
The contract shall be awarded to the Offeror or Offerors whose proposal is most advantageous, taking into consideration the evaluation factors set
forth in the RFP. The most advantageous proposal may or may not have received the most points.
o
Protest Deadline
Any protest by an Offeror must be submitted by no later than August 1, 2012. Protests must be written and must include the name and address of
the protestor and the request for proposals number. It must also contain a statement of grounds for protest including appropriate supporting
exhibits, and it must specify the ruling requested from the NMPRC. The protest must be delivered to the NMPRC. Protests received after the
deadline will not be accepted.
C. GENERAL REQUIREMENTS
This procurement will be conducted as follows:
o
Acceptance of Conditions Governing the Procurement
Offerors must indicate their acceptance of the Conditions Governing the Procurement section in their letter of transmittal. Submission of a
proposal constitutes acceptance of the Evaluation Factors contained in Section V of this RFP.
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o
Incurring Cost
Any cost incurred by the Offeror in preparation, transmittal, presentation of any proposal or material submitted in response to this RFP shall be
borne solely by the Offeror.
o
Prime Contractor Responsibility
Any contract that may result from this RFP shall specify that the prime contractor is solely responsible for fulfillment of the contract with the
Commission. The Commission will approve contract payments to only the prime contractor.
o
Subcontractors
Use of subcontractors must be clearly explained in the proposal, and all subcontractors must be identified by name. The prime contractor
(Offeror) shall be wholly responsible for the entire performance whether or not subcontractors are used.
o
Amended Proposals
An Offeror may submit an amended proposal before the deadline for receipt of proposals. Such amended proposals must be complete
replacements for a previously submitted proposal and must be clearly identified as such in the transmittal letter. The Commission personnel will
not merge, collate, or assemble proposal materials.
o
Offerors' Rights to Withdraw Proposal
Offerors will be allowed to withdraw their proposals at any time prior to the deadline for receipt of proposals. The Offeror must submit a written
withdrawal request signed by the Offeror's duly authorized representative addressed to the Procurement Manager.
The approval or denial of withdrawal requests received after the deadline for receipt of the proposals is governed by the applicable procurement
regulations.
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o
Proposal Offer Firm
Responses to this RFP, including proposal prices, will be considered firm for 120 days after the due date for receipt of proposals.
o
Disclosure of Proposal Contents
The proposals will be kept confidential until a contract is awarded. At that time, all proposals and documents pertaining to the proposals will be
open to the public, except for the material that is proprietary or confidential. The Procurement Manager will not disclose or make public any
pages of a proposal on which the Offeror has stamped or imprinted "proprietary" or "confidential" subject to the following requirements.
Proprietary or confidential data shall be readily separable from the proposal in order to facilitate eventual public inspection of the nonconfidential portion of the proposal. Confidential data is normally restricted to confidential financial information concerning the Offeror's
organization and data that qualifies as a trade secret in accordance with the Uniform Trade Secrets Act, 57-3A-1 to 57-3A-7 NMSA 1978. The
price of products offered or the cost of services proposed shall not be designated as proprietary or confidential information.
If a request is received for disclosure of data for which an Offeror has made a written request for confidentiality, the NMPRC shall examine the
Offeror's request and make a written determination that specifies which portions of the proposal should be disclosed. Unless the Offeror takes
legal action to prevent the disclosure, the proposal will be so disclosed. The proposal shall be open to public inspection subject to any continuing
prohibition on the disclosure of confidential data.
o
No Obligation
This procurement in no manner obligates the State of New Mexico or any of its agencies to the use of any proposed professional services until a
valid written contract is awarded and approved by the appropriate authorities.
o
Termination
This RFP may be canceled at any time and any and all proposals may be rejected in whole or in part when the Commission determines such
action to be in the best interest of the State of New Mexico.
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o
Legal Review
The Commission requires that all Offerors agree to be bound by the General Requirements contained in this RFP. Any Offeror concerns must be
promptly brought to the attention of the Procurement Manager.
o
Governing Law
This procurement and any agreement with Offerors that may result shall be governed by the laws of the State of New Mexico.
o
Basis for Proposal
Only information supplied by the Commission in writing through the Procurement Manager or in this RFP should be used as the basis for the
preparation of Offeror proposals. PNM will make available information in the PNM data room.
o
Contract Terms and Conditions
The contract between the Commission and an Offeror will follow the format specified by the Commission and contain the terms and conditions
set forth in Appendix B, "Contract Terms and Conditions". However, the Commission reserves the right to negotiate with a successful Offeror
provisions in addition to those contained in this RFP. The contents of this RFP, as revised and/or supplemented, and the successful Offeror's
proposal will be incorporated into and become part of the contract.
Should an Offeror object to any of the Commission's terms and conditions, as contained in this Section or in Appendix B, that Offeror must
propose specific alternative language. The Commission may or may not accept the alternative language. General references to the Offeror's terms
and conditions or attempts at complete substitutions are not acceptable to the Commission and will result in disqualification of the Offeror's
proposal.
Offerors must provide a brief discussion of the purpose and impact, if any, of each proposed change followed by the specific proposed alternate
wording.
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o
Offeror's Terms and Conditions
Offerors must submit with the proposal a complete set of any additional terms and conditions which they expect to have included in a contract
negotiated with the Commission.
o
Contract Deviations
Any additional terms and conditions, which may be the subject of negotiation, will be discussed only between the Commission and the selected
Offeror and shall not be deemed an opportunity to amend the Offeror's proposal.
o
Offeror Qualifications
The Evaluation Committee may make such investigations as necessary to determine the ability of the Offeror to adhere to the requirements
specified within this RFP. The Evaluation Committee will reject the proposal of any Offeror who is not a “Responsible Offeror or fails to submit
a Responsive Offer
o
Right to Waive Minor Irregularities
The Evaluation Committee reserves the right to waive minor irregularities. The Evaluation Committee also reserves the right to waive mandatory
requirements provided that all of the otherwise responsive proposals failed to meet the mandatory requirements and/or doing so does not otherwise materially affect the procurement. This right is at the sole discretion of the Evaluation Committee.
o
Change in Offeror Representatives
The Commission reserves the right to require a change in Offeror representatives if the assigned representatives are not, in the opinion of the
Commission, meeting its needs adequately.
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o
Notice
The New Mexico criminal statutes impose felony penalties for bribes, gratuities and kick-backs.
o
Commission Rights
The Commission reserves the right to accept all or a portion of an Offeror's proposal.
o
Right to Publish
Throughout the duration of this procurement process and contract term, potential Offerors, Offerors and contractors must secure from the
Commission written approval prior to the release of any information that pertains to the potential work or activities covered by this procurement
or the subsequent contract. Failure to adhere to this requirement may result in disqualification of the Offeror's proposal or termination of the
contract.
o
Ownership of Proposals
All documents submitted in response to this Request for Proposals shall become the property of the Commission and the State of New Mexico.
o
Electronic mail address required
A large part of the communication regarding this procurement will be conducted by electronic mail (e-mail). Offeror must have a valid e-mail
address to receive this correspondence.
o
Use of Electronic Versions of this RFP
This RFP is being made available by electronic means. If accepted by such means, the Offeror acknowledges and accepts full responsibility to
insure that no changes are made to the RFP. In the event of conflict between a version of the RFP in the Offeror’s possession and the version
maintained by the NMPRC, the version maintained by the NMPRC shall govern.
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o
Suspension and Debarment Requirement
The Offeror shall certify, by signing the agreement attached hereto as Appendix E that to the best of its knowledge and belief that the Offeror
and/or its Principals are not or have not been debarred, suspended, proposed for debarment or declared ineligible for the award of contracts by
any Federal or state department or agency.
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III. RESPONSE FORMAT AND ORGANIZATION
This section describes the format and organization of the Offeror's response. Failure to conform to these specifications may result in the disqualification of the
proposal.
A. NUMBER OF RESPONSES
Offerors shall submit only one proposal. Subcontractors may team up with more than one Offeror.
B. NUMBER OF COPIES
Offerors must submit a complete response to this RFP, using the format provided below. Each proposal must be submitted by mailing six copies to the
Commission. In addition to the paper copies of the technical proposal, Offerors shall submit one complete and exact copy of the entire proposal and all
attachments and appendices on CD-Rom in Microsoft Office format. Six copies of the separate cost proposal in a sealed envelope must be provided in
paper form only. The separate sealed cost proposal should not be included on the CD-Rom. No other distribution of proposals will be made by the
Offeror. Proposals must be signed by an official authorized to bind the Offeror to its provision. Moreover, except as otherwise noted herein, the contents
of the proposal of the selected Offeror will become contractual obligations of the Offeror if a contract among the Commission, Utility and the successful
Offeror is entered. Six copies of the separate cost proposal in a sealed envelope must be provided.
C. PROPOSAL FORMAT
All proposals must be typewritten on standard 8 1/2 x 11 paper (two-sided printing is preferred)(larger paper is permissible for charts, spreadsheets, etc.)
and placed within a binder with tabs delineating each section.
a. Proposal Content and Organization
The proposal must be organized and indexed in the following format and must contain, as a minimum, all listed items in the sequence indicated.
i. Letter of Transmittal (Binder 1)
ii. Table of Contents (Binder 1)
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iii.
iv.
v.
vi.
vii.
viii.
ix.
x.
xi.
Proposal Summary (optional) (Binder 1)
Response to Mandatory Specifications (Binder 1)
Suspension and Debarment Form (Binder 1)
Campaign Contribution Form (Binder 1)
Completed Cost Response Form (Binder 2)
Other Attachments
Response to Commission Terms and Conditions (Binder 2)
Offeror's Additional Terms and Conditions (Binder 2)
Other Supporting Material (Binder 3)
Within each section of their proposal, Offerors should address the items in the order in which they appear in this RFP. All forms provided in the RFP
must be thoroughly completed and included in the appropriate section of the proposal. All discussion of proposed costs, rates or expenses must occur only
in binder 2 with the cost response form.
Any proposal that does not adhere to these requirements may be deemed non-responsive and rejected on that basis.
The proposal summary may be included by Offerors to provide the Evaluation Committee with an overview of the technical and business features of the
proposal; however, this material will not be used in the evaluation process unless specifically referenced from other portions of the Offeror's proposal.
Offerors may attach other materials that they feel may improve the quality of their responses. However, these materials should be included as items in a
separate appendix.
Letter of Transmittal
Each proposal must be accompanied by a letter of transmittal. The letter of transmittal MUST:
a)
identify the submitting organization (Offeror);
b)
identify the name and title of the person authorized by the organization to contractually obligate the organization;
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c)
identify the name, title and telephone number of the person authorized to negotiate the contract on behalf of the organization;
d)
identify the names, titles and telephone numbers of persons to be contacted for clarification;
e)
f)
explicitly indicate acceptance of the Conditions Governing the Procurement stated in Section II;
a statement that the proposal as submitted is non-revocable and in effect for 120 days from its issuance
f)
be signed by the person authorized to contractually obligate the organization;
g)
acknowledge and list receipt of any and all amendments to this RFP.
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IV. SPECIFICATIONS
Offerors should respond in the form of a thorough narrative to each mandatory specification. The narratives along with required supporting materials will be
evaluated and awarded points accordingly.
Failure to respond to Mandatory Specifications will result in the disqualification of the proposal as non-responsive.
A. Mandatory Specifications
a. Experience
i. Offeror must submit a statement of relevant experience and describe the qualifications of the Prime Contractor and Subcontractor(s).
The documentation must thoroughly describe how the Offeror has supplied expertise for similar contracts and work related to this
scope of work. Offeror must provide a detailed description of the experience of all firms proposed completing similar services, the
outcomes of those services, and previous experience working together on similar engagements.
ii. Offeror must provide a description of the Offeror’s and Subcontractor(s) business and financial stability by providing the number
years in business, years completing similar work to the scope of this project, main location, the location of the office from which the
work on this engagement is to be performed, size of the firm, size of the firm’s governmental or utility staff, evidence o financial
stability, and other information.
iii. Offeror must explain why Offeror and Subcontractor(s) is/are qualified to plan, coordinate, implement and administer this audit and
prudence review.
iv. Offeror must provide samples deliverables from similar scoped work.
b. Understanding the Project and Scope of Work
i. Offeror must briefly describe its knowledge and understanding of the scope of work of this audit and prudence review of the EPE fuel
clause filings and practices.
ii. The proposal shall set forth their methodology for executing the work plan, including audit timing, and an explanation of the audit and
prudence review methodology to be followed, to perform the services required.
iii. Offeror must provide a detailed work plan for accomplishing the objectives, scope and tasks outlined in this Request for Proposal.
Include work breakdown structure, major milestones, specific steps, timeline (number of days and dates), on site vs. off site work,
hours required to perform work tasks and work activities, and other information to support the work plan.
iv. Offeror must provide your firm’s management procedures for planning, scheduling,
23
budgeting, cost control, quality controls,
deliverables management, delivering work
papers and work products and other project management tools.
v. Offeror must provide your firm’s management procedures for project contingencies, communicating project delays and issues, and
how additional scope changes and related project costs are determined.
vi. Offeror must provide an organization chart with the Prime Contractor and subcontractor(s) (if any) with the name of all personnel,
title and reporting relationship. The Prime Contractor shall be the party responsible for the overall management of the project. The
Offeror must provide the number and nature of the professional staff to be employed in this engagement on a full-time basis and the
number and nature of the staff to be so employed on a part-time basis.
vii. The proposal shall identify and describe any anticipated potential problems, the firm’s approach to resolving these problems and any
special assistance that will be requested from the Commission.
viii. Offeror must identify any potential barriers in planning, coordinating, implementing and administering this audit and prudence review,
and explain his/her/its strategies for overcoming them successful.
ix. Offeror must disclose any assumptions the Offeror is making in scoping this project, including the roles of EPE and the Commission,
estimated hours expected by EPE and the Commission, response time assumptions and any other assumptions made in developing the
work plan for this engagement
c. References
Proposals must include five (5) external client references from clients who received similar services from each Offeror and Subcontractor. The
minimum information that must be provided about each reference is:
i.
ii.
iii.
iv.
v.
vi.
vii.
Name of individual or company services were provided for
Address of individual or company
Name of contact person
Telephone number of contact person
Type of services provided and dates services were provided\ including a description of key work activities
Dates of service
E-mail address (if available)
Please note that the Commission will likely contact references during the evaluation period.
24
d. Proposed Staff Experience
Offerors must submit resumes of all proposed professional staff members, including Subcontractors, who will be performing services under the
contract. At minimum, resumes should include the name, title, years with the firm, years of experience, skills, education, project references and role
on this project for all personnel.
Experience narratives shall be attached that describe the specific relevant experience of the staff members in relation to the role that member will
perform for this contract. The narrative(s) must include the name of the individual(s) proposed and should include a thorough description of the
education, knowledge, and relevant experience as well as any certifications or other professional credential that clearly shows proposed staff member’s
expertise.
e. Proposed Staff References
One external client reference for each proposed staff member must be provided. The minimum information that must be provided about each
reference is:
Name of individual or company services were provided for
Address of individual or company
Name of contact person
Telephone number of contact person
Type of services provided and dates services were provided
E-mail address (if available)
f.
Conflict of Interest; Governmental Conduct Act
The Offeror and Subcontractor must list and describe the firm’s professional relationships involving the Commission or EPE, XCEL Energy or
any of its affiliates for the past five (5) years, together with a statement explaining why such relationships does not constitute a conflict of interest
relative to performing the proposed audit.
The Offeror must disclose any conflicts of interest for the Offeror or Subcontractor.
The Offeror must warrant that it presently has no interest and shall not acquire any interest, direct or indirect, which would conflict in any manner
or degree with the performance or services required under the Agreement. The Offeror must certify that the requirements of the Governmental
Conduct Act, Sections 10-16-1 through 10-16-18, NMSA 1978, regarding contracting with a public officer or state employee or former state
employee have been followed.
25
B. Desirables
a. Firm Qualifications and Experience
The Offeror should submit a copy of the report on its most recent external quality control review, with a statement whether that quality control review
included a review of specific government engagements.
The Offeror should also provide information on the results of any federal or state desk reviews or field reviews of its audits during the past three (3)
years. In addition, the Offeror should provide information on the circumstances and status of any disciplinary action taken or pending against the firm
during the past three (3) years with state regulatory bodies or professional organizations.
The Offeror should also provide a copy of the firm profile it has submitted to the State Auditor, in accordance with 2 NMAC 2.2.2 (March 30, 2001).
b. Partner, Supervisory and Staff Qualifications and Audit Experience
The Offeror should identify the principal supervisory and management staff, including engagement partners, managers, other supervisors and specialists,
who would be assigned to the engagement and indicate whether each such person is licensed to practice as a certified public accountant. The Offeror also
should provide information on relevant Continual Professional Education for the past three (3) years and membership in professional organizations
relevant to the performance of this audit.
The Offeror should provide as much information as possible regarding the number, qualifications, experience and training, including relevant continuing
professional education, of the specific staff to be assigned to this audit.
Engagement partners, managers, other supervisory staff and specialists may be changed if those personnel leave the Offeror or are promoted. However,
in either case, the Commission retains the right to approve or reject replacements. Offerors should present a detailed replacement plan if personnel
changes occur. In the event of personnel changes, there should be no impact or delay in deliverables.
c. Prior Work Experience with the State of New Mexico
The Offeror should list separately all engagements within the last five (5) years, ranked on the basis of total staff hours, for the State of New Mexico
by type of engagement (i.e., audit, management advisory services, other). For each engagement, the firm should indicate the scope of work, date,
engagement was performed, and the name and telephone number of the principle client contact.
26
C. Other Information
a. Oral Presentation
If selected as a finalist, Offerors agree to provide the Evaluation Committee the opportunity to interview proposed staff members identified by the
Evaluation Committee in the finalist notification letter at the oral presentation. A statement of concurrence is required.
b. Deliverables

Offerors must provide bi-weekly written and oral reports to the Project Manager regarding audit status.

Offerors must be readily available for any corrections or revisions until the audit has been finalized with the Commission.

Offerors must respond in a narrative format to the deliverables. Illustrations may be used when deemed helpful. Deliverables include:










Planning and Kick Off
Bi-monthly Written Status Reports, including at minimum a project update of the work plan, targets and project achievements,
challenges encountered by the Offeror, proposed plan by the Offeror to address the challenges, upcoming activities for the next
reporting period, and any projected changes to the work plan and its schedule
Execute Work Plan: Perform Audit
Execute Work Plan: Perform Prudence Review
Draft Audit Report and any necessary revisions
Draft Prudence Review Report and any necessary revisions
Draft Observations and Recommendations Report and any necessary
Final Audit Reports – Public Version (redacted) and Confidential Versions
Final Prudence Review Report – Public Version (redacted) and Confidential Versions
Final Observations and Recommendations Report – Public Version (redacted version if needed) and Confidential Versions
c. Exceptions
Offerors may take exception to certain requirements in this RFP. All exceptions should be clearly identified in this section and a written explanation
shall include the scope of the exceptions, the ramifications of the exceptions for the Commission and this project, and the description of the advantages
or disadvantages to the Commission as a result of exceptions. The Commission, at its sole discretion, may reject any exceptions or specifications
within the proposal. Offerors may also provide supplemental information, if necessary, to assist the Commission in analyzing responses to this RFP.
27
d. Confidentiality
Any confidential information provided to or developed by the Offeror in the performance of this Agreement shall be kept confidential and shall not be
made available to any individual or organization by the Offeror without the prior written approval of the Agency. The Offeror may be required to
execute a Confidentiality agreement to be developed by the Commission.
e. Invoicing and Billing Information
The Offeror shall maintain detailed time and expenditure records that indicate the date, time, nature and cost of services rendered during the
Agreement’s term and effect and retain them for a period of three (3) years from the date of final payment under this Agreement. The records shall be
subject to inspection by the Commission. The Commission shall have the right to audit billings both before and after payment. Payment under this
Agreement shall not foreclose the right of the Commission to recover excessive or illegal payments.
Offeror must submit a detailed statement accounting for all services performed and expenses incurred to the Commission and to EPE by the 10th day
of the following month. If the Commission finds that the services are not acceptable, within seven business days after the date of receipt of written
notice from the Offeror that payment is requested, it shall provide the Offeror a letter of exception explaining the defect or objection to the services,
and outlining steps the Offeror may take to provide remedial action. Upon certification by the Commission that the services have been received and
accepted, which certification shall be sent to EPE and to Offeror within seven business days after receipt of each statement, payment shall be tendered
to the Offeror by EPE within thirty days after EPE’ or the Commission’s receipt of the statement, whichever is later. If payment is made by mail, the
payment shall be deemed tendered on the date it is postmarked. Commission shall issue an Order directing EPE to make such payment. However,
EPE shall not incur late charges, interest, or penalties for failure to make payment within the time specified herein. Under no circumstance shall the
Commission have responsibility for payment to offeror selected by the Commission nor any responsibility for failure on the part of EPE to pay any
statement/invoice.
f. Product of Service -- Copyright.
All materials developed or acquired by the Offeror under this Agreement shall become the property of the Commission and the State of New Mexico
and shall be delivered to the Commission no later than the termination date of this Agreement. Nothing developed or produced, in whole or in part, by
the Offeror under this Agreement shall be the subject of an application for copyright or other claim of ownership by or on behalf of the Offeror.
g. New Mexico Employees Health Insurance
Employee health insurance coverage is mandatory to be awarded a contract based on an RFP. To be responsive to this RFP, and to eligible for contract
award, the Offeror must agree to the following:
i. If the Offeror has, or grows to, six (6) or more employees who work, or who are expected to work, an average of at least 20 hours per
28
week over a six (6) month period during the term of the contract, Offeror must agree to:

have in place, and agree to maintain for the term of the contract, health insurance for those employees and offer that health
insurance to those employees no later than July 1, 2010 if the expected annual value in the aggregate of any and all contracts
between Offeror and the State exceed one million dollars or;

have in place, and agree to maintain for the term of the contract, health insurance for those employees and offer that health
insurance to those employees no later than July 1, 2010 if the expected annual value in the aggregate of any and all contracts
between Offeror and the State exceed $500,000 dollars or

have in place, and agree to maintain for the term of the contract, health insurance for those employees and offer that health
insurance to those employees no later than July 1, 2010 if the expected annual value in the aggregate of any and all contracts
between Offeror and the State exceed $250,000 dollars.
ii. Offeror must agree to maintain a record of the number of employees who have (a) accepted health insurance; (b) declined health insurance
due to other health insurance coverage already in place; or (c) declined health insurance for other reasons. These records are subject to
review and audit by a representative of the state.
iii. Offeror must agree to advise all employees of the availability of State publicly financed health care coverage programs by providing each
employee with, as a minimum, the following web site link to additional information: http://insurenewmexico.state.nm.us/.
iv. For Indefinite Quantity, Indefinite Delivery contracts (price agreements without specific limitations on quantity and providing for an
indeterminate number of orders to be placed against it); these requirements shall apply the first day of the second month after the Offeror
reports combined sales (from state and, if applicable, from local public bodies if from a state price agreement) of $250,000, $500,000 or
$1,000,000.
A statement of concurrence is required.
h. Workers Compensation.
The Offeror agrees to comply with state laws and rules applicable to workers compensation benefits for its employees. If the Offeror fails to comply
with the Workers Compensation Act and applicable rules when required to do so, this Agreement may be terminated by the Commission.
i.
Indemnification.
The Offeror shall defend, indemnify and hold harmless the Commission and the State of New Mexico from all actions, proceeding, claims, demands,
29
costs, damages, attorneys’ fees and all other liabilities and expenses of any kind from any source which may arise out of the performance of this
Agreement, caused by the negligent act or failure to act of the Offeror, its officers, employees, servants, subcontractors or agents, or if caused by the
actions of any client of the Offeror resulting in injury or damage to persons or property during the time when the Offeror or any officer, agent,
employee, servant or subcontractor thereof has or is performing services pursuant to this Agreement. In the event that any action, suit or proceeding
related to the services performed by the Offeror or any officer, agent, employee, servant or subcontractor under this Agreement is brought against the
Offeror, the Offeror shall, as soon as practicable but no later than two (2) days after it receives notice thereof, notify the legal counsel of the
Commission and the Risk Management Division of the New Mexico General Services Department by certified mail.
j.
Campaign Contribution Disclosure Form
Offeror must complete and sign the Appendix C, Campaign Contribution Form whether any applicable contribution has been made or not. This form
must be submitted with your proposal whether an applicable contribution has been made or not.
k. Non-collusion agreement
Offeror must submit this proposal in good faith and not pursuant to any agreement or discussion with, or inducement from, any firm or person to
submit a complementary or other noncompetitive proposal. In this regard, the Offeror must complete and execute the Noncollusion Affidavit,
attached hereto as Appendix F, and submit it with the Offeror's proposal. Failure to file a Noncollusion Affidavit with the Offeror's proposal will
result in the proposal being disqualified.
l.
Former Employee Affadavit
Offeror must submit applicable Former Employee Affavidavits with this proposal.
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V.
EVALUATION
A. Evaluation Point Summary
The following is a summary of evaluation factors with point value assigned to each. These, along with the general requirements, will be used in the
evaluation of Offeror proposals.
FACTOR
POINTS AVAILABLE
Responses to Mandatory Specifications (Pass/Fail)
Ability of Offeror to meet the mandatory terms and requirements of this RFP
Independence with respect to present and past relationships
0
0
Corporate Experience
Firm Qualifications/Experience of the Prime Contractor and Subcontractor(s)
Expertise for similar contracts and work related to this scope of work.
Offeror’s and Subcontractor(s) business and financial stability
Industry Knowledge
25
25
25
25
Understanding the Project and Scope of Work
Knowledge and understanding of the scope of work of this audit and prudence review of the EPE fuel clause filings and practices
50
Methodology for executing the work plan
50
Detailed work plan
50
Approach and allocation of time on specific tasks
25
Ability to meet all deliverables in this RFP
50
Firm’s management procedures
25
Organization chart
25
Assumptions
25
31
Corporate References
Firm References and experience on projects similar to that described in this RFP
50
Proposed Staff Experience
Partner, supervisory and staff qualifications, education and experience
50
Proposed Staff References
Experience on projects similar to that described in this RFP
50
Firm Qualifications and Experience
Most recent external quality control review
Results of any federal or state desk reviews or field reviews
Firm profile
25
25
25
Prior Work Experience with the State of New Mexico
25
Cost
250
Total Not-to-Exceed Rates
Total Hours
Number of Personnel Assigned to Project
Total Not-to-Exceed Cost
Oral Presentation*
New Mexico Employees Health Coverage
Campaign Contribution Disclosure Form
Noncollusion Form
Former Employee Affadavit
100
P/F
P/F
P/F
P/F
TOTAL
1,000
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B. Evaluation Factors
Points will be awarded on the basis of the following evaluation factors:
1. Experience
The corporate experience of the Offeror will be evaluated based upon documented experience on similar projects and engagements.
2. Responses to Mandatory Specifications
The responses to mandatory specifications by the Offeror will be evaluated based upon the proposal responses.
3. Understanding of the Scope of this Engagement
Points will be awarded for the Offerors knowledge and understanding of the scope of services to be provided for this audit and prudence
review.
4. Corporate References
Points for references will be awarded based upon an evaluation of the Offeror's work for previous clients receiving similar services to those
proposed by the Offeror for this contract.
5. Staff Experience
Points for staff experience will be awarded based upon an evaluation of each staff member's experience as it relates to their role and the needs
of this contract.
6. Individual References
Points for individual references will be awarded based upon an evaluation of the individual's work performed for previous clients receiving
similar services to those proposed for the staff member for this contract.
7. Cost
The evaluation of each Offeror's cost proposal will be based upon the proposal response and cost, including a not-to-exceed total cost, hourly
33
rates, travel costs and other costs.
8. Oral Presentation
Points for the oral presentation will be awarded based upon an evaluation of the qualifications of the proposed staff. Effective
communication, technical knowledge, experience with similar contracts, and the quality of the responses to questions will be the principle
criteria for the evaluation.
9. New Mexico Employees Health Coverage (0 Points)
Pass or fail
10. Campaign Contribution Disclosure Form (0 points)
Pass or fail
11.Noncollusion Form (0 points)
Pass or fail
C. Evaluation Process
The evaluation process will follow the steps listed below:
1.
All Offeror proposals will be reviewed for compliance with the mandatory requirements stated within the RFP. Any evaluation factor listed as
pass or fail (P/F) is a mandatory requirement requiring an appropriate response from the offeror. Proposals deemed non-responsive will be
eliminated from further consideration.
2.
The Procurement Manager may contact the Offeror for clarification of the response as specified in Section II.
3.
The Evaluation Committee may use other sources of information to perform the evaluation as specified in Section II.
4.
Responsive proposals will be evaluated on the factors in Section V that have been assigned a point value. The responsible Offerors with the most
advantageous proposals based upon the evaluation criteria above will be selected as finalist Offerors based upon the proposals submitted. Finalist
34
Offerors may be asked or choose to submit revised proposals for the purpose of obtaining additional clarification. Points awarded from the oral
presentations will be added to the previously assigned points to attain final scores. The responsible Offeror whose proposal is most advantageous
to the Commission, taking into consideration the evaluation factors in Section V, will be recommended for contract award as described in Section
II. The most advantageous proposal may or may not have received the most points. Please note, however, that a serious deficiency in the
response to any one factor may be grounds for rejection regardless of overall score.
35
VI. APPENDICES
36
APPENDIX A
Acknowledgement of Receipt Form
37
REQUESTS FOR PROPOSALS
RFP # _______________
ACKNOWLEDGEMENT OF RECEIPT FORM
In acknowledgement of receipt of this Request for Proposal the undersigned agrees that he/she has received a complete copy, beginning with the title page and table
of contents, and ending with Appendix G.
The acknowledgement of receipt should be signed and returned to the Procurement Manager no later than close of business on ______________. Only potential
Offerors who elect to return this form completed with the indicated intention of submitting a proposal will receive copies of all Offeror written questions and the
Commission's written responses to those questions as well as RFP amendments, if any are issued.
FIRM: __________________________________________________________________
REPRESENTED BY: ______________________________________________________
TITLE: ________________________________ PHONE NO.: ______________________
E-MAIL: ___________________________
FAX NO.: _________________________
ADDRESS: _______________________________________________________________
CITY: __________________________ STATE: ________ ZIP CODE: _______________
SIGNATURE: ___________________________________ DATE: ___________________
This name and address will be used for all correspondence related to the Request for Proposal.
Firm does/does not (circle one) intend to respond to this Request for Proposals.
Insert Information
38
APPENDIX B
Contract Terms and Conditions
39
STATE OF NEW MEXICO PUBLIC REGULATION COMMISSION
CONTRACT #_________________________
THIS AGREEMENT is made and entered into by and between the State of New Mexico, Public Regulation Commission, hereinafter referred to as (the
"Commission") and NAME OF CONTRACTOR, hereinafter referred to as (the "Contractor”), and is effective as of the date the Commission executes this
Agreement as set forth below.
IT IS AGREED BETWEEN THE PARTIES:
1.
Scope of Work.
The Contractor shall perform the work outlined in the Scope of Work attached hereto as Attachment 1 and incorporated herein by reference:
2.
Compensation.
A.
The total amount payable to the Contractor under this Agreement, including gross receipts tax and expenses, shall not exceed $____________.
This amount is a maximum and not a guarantee that the work assigned to Contractor under this Agreement to be performed shall equal the amount stated
herein.
B.
The Commission shall issue an order requiring EPE, after Commission review of submitted billings and approval, to pay to the Contractor in
full payment for services satisfactorily performed. The New Mexico gross receipts tax levied on the amounts payable under this Agreement totaling shall be
paid by EPE as part of the billing invoice to the Contractor who will transmit the taxes to the taxing authority.
C.
Contractor must submit a detailed statement accounting for all services performed and expenses incurred. If the Commission finds that the
services are not acceptable, within thirty days after the date of receipt of written notice from the Contractor that payment is requested, it shall provide the
Contractor a letter of exception explaining the defect or objection to the services, and outlining steps the Contractor may take to provide remedial action.
Upon certification by the Commission that the services have been received and accepted, payment shall be tendered to the Contractor within thirty days after
the date of acceptance. If payment is made by mail, the payment shall be deemed tendered on the date it is postmarked. However, the agency shall not incur
late charges, interest, or penalties for failure to make payment within the time specified herein.
3.
Term.
This Agreement shall begin on the date this Agreement is executed by the Commission, as set forth below, for a term of one (1) year unless
terminated pursuant to paragraph 4, infra, or paragraph 5. The agency reserves the right to extend the contract on an annual basis, or any portions thereof, for
up to three (3) additional years. No contract term for a professional services contract, including extensions and renewals, shall exceed four years.
4.
Termination.
A.
Termination. This Agreement may be terminated by either of the parties hereto upon written notice delivered to the other party at least thirty
40
(30) days prior to the intended date of termination. Except as otherwise allowed or provided under this Agreement, the Commission’s sole liability upon such
termination shall be to pay for acceptable work performed prior to the Contractor’s receipt of the notice of termination, if the Commission is the terminating
party, or the Contractor’s sending of the notice of termination, if the Contractor is the terminating party; provided, however, that a notice of termination shall
not nullify or otherwise affect either party’s liability for pre-termination defaults under or breaches of this Agreement. The Contractor shall submit an invoice
for such work within thirty (30) days of receiving or sending the notice of termination. Notwithstanding the foregoing, this Agreement may be terminated
immediately upon written notice to the Contractor if the Contractor becomes unable to perform the services contracted for, as determined by the Commission
or if, during the term of this Agreement, the Contractor or any of its officers, employees or agents is indicted for fraud, embezzlement or other crime due to
misuse of state funds or due to the Appropriations paragraph herein. THIS PROVISION IS NOT EXCLUSIVE AND DOES NOT WAIVE THE STATE’S OTHER
LEGAL RIGHTS AND REMEDIES CAUSED BY THE CONTRACTOR'S DEFAULT/BREACH OF THIS AGREEMENT.”
B.
Termination Management. Immediately upon receipt by either the Commission or the Contractor of notice of termination of this Agreement,
the Contractor shall: 1) not incur any further obligations for salaries, services or any other expenditure of funds under this Agreement without written approval
of the Commission; 2) comply with all directives issued by the Commission in the notice of termination as to the performance of work under this Agreement;
and 3) take such action as the Commission shall direct for the protection, preservation, retention or transfer of all property titled to the Commission and
records generated under this Agreement. Any non-expendable personal property or equipment provided to or purchased by the Contractor with contract funds
shall become property of the Commission upon termination and shall be submitted to the agency as soon as practicable.
5.
Status of Contractor.
The Contractor and its agents and employees are independent contractors performing professional services for the Commission and are not employees
of the State of New Mexico. The Contractor and its agents and employees shall not accrue leave, retirement, insurance, bonding, use of state vehicles, or any
other benefits afforded to employees of the State of New Mexico as a result of this Agreement. The Contractor acknowledges that all sums received hereunder
are reportable by the Contractor for tax purposes, including without limitation, self-employment and business income tax. The Contractor agrees not to
purport to bind the State of New Mexico unless the Contractor has express written authority to do so, and then only within the strict limits of that authority.
6.
Assignment.
The Contractor shall not assign or transfer any interest in this Agreement or assign any claims for money due or to become due under this Agreement
without the prior written approval of the Commission.
7.
Subcontracting.
The Contractor shall not subcontract any portion of the services to be performed under this Agreement without the prior written approval of the
Commission.
8.
Release.
Final payment of the amounts due under this Agreement shall operate as a release of the Commission, its officers and employees, and the State of New
Mexico from all liabilities, claims and obligations whatsoever arising from or under this Agreement.
41
9.
Confidentiality.
Any confidential information provided to or developed by the Contractor in the performance of this Agreement shall be kept confidential and shall not
be made available to any individual or organization by the Contractor without the prior written approval of the Commission.
10.
Product of Service -- Copyright.
All materials developed or acquired by the Contractor under this Agreement shall become the property of the State of New Mexico and shall be
delivered to the Commission no later than the termination date of this Agreement. Nothing developed or produced, in whole or in part, by the Contractor
under this Agreement shall be the subject of an application for copyright or other claim of ownership by or on behalf of the Contractor.
11.
Conflict of Interest; Governmental Conduct Act.
The Contractor warrants that it presently has no interest and shall not acquire any interest, direct or indirect, which would conflict in any manner or
degree with the performance or services required under the Agreement. The Contractor certifies that the requirements of the Governmental Conduct Act,
Sections 10-16-1 through 10-16-18, NMSA 1978, regarding contracting with a public officer or state employee or former state employee have been followed.
12.
Amendment.
This Agreement shall not be altered, changed or amended except by instrument in writing executed by the parties hereto.
13.
Merger.
This Agreement incorporates all the Agreements, covenants and understandings between the parties hereto concerning the subject matter hereof, and
all such covenants, Agreements and understandings have been merged into this written Agreement. No prior Agreement or understanding, oral or otherwise,
of the parties or their agents shall be valid or enforceable unless embodied in this Agreement.
14.
Penalties for Violation of Law.
The New Mexico criminal statutes impose felony penalties for illegal bribes, gratuities and kickbacks.
15.
Equal Opportunity Compliance.
The Contractor agrees to abide by all federal and state laws and rules and regulations, and executive orders of the Governor of the State of New
Mexico, pertaining to equal employment opportunity. In accordance with all such laws of the State of New Mexico, the Contractor assures that no person in
the United States shall, on the grounds of race, religion, color, national origin, ancestry, sex, age, physical or mental handicap, or serious medical condition,
spousal affiliation, sexual orientation or gender identity, be excluded from employment with or participation in, be denied the benefits of, or be otherwise
subjected to discrimination under any program or activity performed under this Agreement. If Contractor is found not to be in compliance with these
requirements during the life of this Agreement, Contractor agrees to take appropriate steps to correct these deficiencies.
42
16.
Applicable Law.
The laws of the State of New Mexico shall govern this Agreement, without giving effect to its choice of law provisions. Venue shall be proper only in
a New Mexico court of competent jurisdiction in accordance with Section 38-3-1 (G) NMSA 1978. By execution of this Agreement, Contractor acknowledges
and agrees to the jurisdiction of the courts of the State of New Mexico over any and all lawsuits arising under or out of any term of this Agreement.
17.
Workers Compensation.
The Contractor agrees to comply with state laws and rules applicable to workers compensation benefits for its employees. If the Contractor fails to
comply with the Workers Compensation Act and applicable rules when required to do so, this Agreement may be terminated by the Commission.
18.
Records and Financial Audit.
The Contractor shall maintain detailed time and expenditure records that indicate the date; time, nature and cost of services rendered during the
Agreement’s term and effect and retain them for a period of five (5) years from the date of final payment under this Agreement. The records shall be subject
to inspection by the Commission. The Commission shall have the right to audit billings both before and after payment. Payment under this Agreement shall
not foreclose the right of the Commission to recover excessive or illegal payments
19.
Indemnification.
The Contractor shall defend, indemnify and hold harmless the Commission and the State of New Mexico from all actions, proceeding, claims,
demands, costs, damages, attorneys’ fees and all other liabilities and expenses of any kind from any source which may arise out of the performance of this
Agreement, caused by the negligent act or failure to act of the Contractor, its officers, employees, servants, subcontractors or agents, or if caused by the actions
of any client of the Contractor resulting in injury or damage to persons or property during the time when the Contractor or any officer, agent, employee,
servant or subcontractor thereof has or is performing services pursuant to this Agreement. In the event that any action, suit or proceeding related to the
services performed by the Contractor or any officer, agent, employee, servant or subcontractor under this Agreement is brought against the Contractor, the
Contractor shall, as soon as practicable but no later than two (2) days after it receives notice thereof, notify the legal counsel of the Commission and the Risk
Management Division of the New Mexico General Services Department by certified mail.
20.
New Mexico Employees Health Coverage.
A. If Contractor has, or grows to, six (6) or more employees who work, or who are expected to work, an average of at least 20 hours per week over a
six (6) month period during the term of the contract, Contractor certifies, by signing this agreement, to:
(1) have in place, and agree to maintain for the term of the contract, health insurance for those employees and offer that health insurance to those
employees no later than July 1, 2010 if the expected annual value in the aggregate of any and all contracts between Contractor and the State exceed
one million dollars or;
(2) have in place, and agree to maintain for the term of the contract, health insurance for those employees and offer that health insurance to those
employees no later than July 1, 2011 if the expected annual value in the aggregate of any and all contracts between Contractor and the State exceed
$500,000 dollars or;
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(3) have in place, and agree to maintain for the term of the contract, health insurance for those employees and offer that health insurance to those
employees no later than July 1, 2012 f the expected annual value in the aggregate of any and all contracts between Contractor and the State exceed
$250,000 dollars.
B. Contractor agrees to maintain a record of the number of employees who have (a) accepted health insurance; (b) declined health insurance due to
other health insurance coverage already in place; or (c) declined health insurance for other reasons. These records are subject to review and audit by a
representative of the state.
C. Contractor agrees to advise all employees of the availability of State publicly financed health care coverage programs by providing each employee
with, as a minimum, the following web site link to additional information: http://insurenewmexico.state.nm.us/.
D. For Indefinite Quantity, Indefinite Delivery contracts (price agreements without specific limitations on quantity and providing for an indeterminate
number of orders to be placed against it); Contractor agrees these requirements shall apply the first day of the second month after the Offeror reports combined
sales (from state and, if applicable, from local public bodies if from a state price agreement) of $250,000, $500,000 or $1,000,000, depending on the dollar
value threshold in effect at that time.
21.
Invalid Term or Condition.
If any term or condition of this Agreement shall be held invalid or unenforceable, the remainder of this Agreement shall not be affected and shall be
valid and enforceable.
22.
Enforcement of Agreement.
A party's failure to require strict performance of any provision of this Agreement shall not waive or diminish that party's right thereafter to demand
strict compliance with that or any other provision. No waiver by a party of any of its rights under this Agreement shall be effective unless express and in
writing, and no effective waiver by a party of any of its rights shall be effective to waive any other rights.
23.
Notices.
Any notice required to be given to either party by this Agreement shall be in writing and shall be delivered in person, by courier service, email or by U.S.
mail, either first class or certified, return receipt requested, postage prepaid, as follows:
To the Commission: Mr. Marc Martinez
Utility Economist
Public Regulation Commission of New Mexico
PERA Building – Room 335
44
1120 Paseo de Peralta
PO Box 1269
Santa Fe, NM 87504-1269
(505) 827-5858
marc.martinez1@state.nm.us
and
Mr. Matthew Lovato
Chief Financial Officer
Public Regulation Commission of New Mexico
PERA Building – Room 335
1120 Paseo de Peralta
PO Box 1269
Santa Fe, NM 87504-1269
(505) 827-4042
Fax (505) 827-4068
matthew.lovato@state.nm.us
To the Contractor: [insert name, address and email].
24.
Authority.
If Contractor is other than a natural person, the individual(s) signing this Agreement on behalf of Contractor represents and warrants that he or she has
the power and authority to bind Contractor, and that no further action, resolution, or approval from Contractor is necessary to enter into a binding contract.
25.
Debarment and Suspension
A. Pursuant to 45 C.F.R. Part 76, the Contractor certifies by signing this Agreement, that it and its principals, to the best of its knowledge and belief:
(1) are not debarred, suspended, proposed for debarment, or declared ineligible for the award of contracts by any Federal department or agency;
(2) have not, within a three-year period preceding the effective date of this Agreement, been convicted of or had a civil judgment rendered against
them for: commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (Federal, state, or
local) contract or subcontract; violation of Federal or state antitrust statutes relating to the submission of offers; or commission of embezzlement,
theft, forgery, bribery, falsification or destruction of records, making false statements, tax evasion, or receiving stolen property; (3) have not been
indicted for, or otherwise criminally or civilly charged by a governmental entity (Federal, State or local) with commission of any of the offenses
enumerated above in this Article 25.1; (4) have not, within a three-year period preceding the effective date of this Agreement, had one or more
45
public agreements or transactions (Federal, State or local) terminated for cause or default; and (5) have not been excluded from participation from
Medicare, Medicaid or other federal health care programs pursuant to Title XI of the Social Security Act, 42 U.S.C. § 1320a-7.
B. The Contractor’s certification in Article 25.A is a material representation of fact upon which the Commission relied when this Agreement was
entered into by the parties. The Contractor shall provide immediate written notice to the Commission’s Contract Administrator if, at any time
during the term of this Agreement, the Contractor learns that its certification in Article 25.A was erroneous on the effective date of this Agreement
or has become erroneous by reason of new or changed circumstances. If it is later determined that the Contractor’s certification in Article 25.A
was erroneous on the effective date of this Agreement or has become erroneous by reason of new or changed circumstances, in addition to other
remedies available to the Commission, the Commission may terminate the Agreement.
C. As required by 45 C.F.R. Part 76], the Contractor shall require each proposed first-tier subcontractor whose subcontract will equal or exceed
$25,000, to disclose to the Contractor, in writing, whether as of the time of award of the subcontract, the subcontractor, or its principals, is or is
not debarred, suspended, or proposed for debarment by any Federal department or agency. The Contractor shall make such disclosures available
to the Commission when it requests subcontractor approval from the Commission pursuant to Article 8. If the subcontractor, or its principals, is
debarred, suspended, or proposed for debarment by any Federal department or agency, the Commission may refuse to approve the use of the
subcontractor.
26.
Lobbying
No federal appropriated funds can be paid or will be paid, by or on behalf of the CONTRACTOR, or any person for influencing or attempting to
influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in
connection with the awarding of any Federal contract, or the making of any Federal grant, the making of any federal loan, the entering into of any cooperative
agreement, or modification of any Federal contract, grant, loan, or cooperative agreement. If any funds other than federal appropriated funds have been paid
or will be paid to any person influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of
Congress, or an employee of a Member of Congress in connection of this federal contract, grant, loan, or cooperative agreement, the CONTRACTOR shall
complete and submit Standard Form LLL, “Disclosure Form to Report Lobbying,” in accordance with its instructions.
27.
Approval of Contractor Personnel
Personnel proposed in the Contractor's written proposal to the procuring agency are considered material to any work performed under this Agreement.
No changes of personnel will be made by the Contractor without prior written consent of the procuring agency. Replacement of any Contractor personnel, if
approved, shall be with personnel of equal ability, experience and qualifications. The Contractor will be responsible for any expenses incurred in familiarizing
the replacement personnel to insure their being productive to the project immediately upon receiving assignments. Approval of replacement personnel shall
not be unreasonably withheld. The procuring agency shall retain the right to request the removal of any of the Contractor's personnel at any time.
28.
Survival
The agreement paragraph titled Patent, Copyright, Trademark, and Trade Secret Indemnification; Indemnification; and Limit of Liability shall survive
the expiration of this agreement. Software licenses, leases, maintenance and any other unexpired agreements that were entered into under the terms and
46
conditions of this agreement shall survive this agreement
29.
Succession
This agreement shall extend to and be binding upon the successors and assigns of the parties.
30.
Incorporation and Order of Precedence.
Request for Proposals No. xxxxxxxxxxx and the contractor's proposal are incorporated by reference into this agreement and are made a part of this
agreement. In the event of any conflict among these documents, the following order of precedence shall apply:
1.
2.
3.
4.
5.
6.
31.
Any contract amendment(s), in reverse chronological order; then
this contract itself; then
the Request for Proposals; then
the Contractors Sealed Cost Proposal(s), in reverse chronological order; then
the contractor’s proposal; then
the contractor's standard agreement terms and conditions (which may or may not have
been submitted as part of the contractor's proposal).
Patent, Copyright, Trademark and Trade Secret Indemnification
A.
The contractor shall defend, at its own expense, the State and its agencies against any claim that any product or service provided under this
agreement infringes any patent, copyright or trademark in the United States or Puerto Rico, and shall pay all costs, damages and attorneys' fees that a court
finally awards as a result of any such claim. In addition, if any third party obtains a judgment against a procuring agency based upon the contractor's trade
secret infringement relating to any product or service provided under this agreement, the contractor agrees to reimburse the State for all costs, attorneys' fees
and the amount of the judgment. To qualify for such defense and/or payment, the State shall:
i.
give the contractor prompt written notice of any claim;
ii.
allow the contractor to control the defense or settlement of the claim; and
iii.
cooperate with the contractor in a reasonable way to facilitate the defense or settlement of the claim.
B.
If any product or service becomes, or in the contractor's opinion is likely to become the subject of a claim of infringement, the contractor shall
at its option and expense:
47
i.
provides a procuring agency the right to continue using the product or service;
ii.
replace or modify the product or service so that it becomes non-infringing; or
iii.
accept the return of the product or service and refund an amount equal to the depreciated value of the returned product or service, less the
unpaid portion of the purchase price and any other amounts which are due to the contractor. The contractor's obligation will be void as to any product or
service modified by the procuring agency to the extent such modification is the cause of the claim.
IN WITNESS WHEREOF, the parties have executed this Agreement as of the date of signature by the Commission.
PUBLIC REGULATION COMMISSION
By:
Date:_______________
Johnny Monotya, NMPRC
Chief of Staff
By:
__________________________________
Robert Parker, General Counsel
For legal sufficiency
CONSULTANT
By:
Name
Date:_______________
Date: _______________
The records of the Taxation and Revenue Department reflect that the Contractor is registered with the Taxation and Revenue Department of the State of New
Mexico to pay gross receipts and compensating taxes.
ID Number: 00-000000-00-0
By:
Date:_______________
Taxation and Revenue Department
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APPENDIX C
CAMPAIGN CONTRIBUTION DISCLOSURE FORM
49
CAMPAIGN CONTRIBUTION DISCLOSURE FORM
Pursuant to NMSA 1978, § 13-1-191.1 (2006), any person seeking to enter into a contract with any state agency or local public body for professional
services, a design and build project delivery system, or the design and installation of measures the primary purpose of which is to conserve
natural resources must file this form with that state agency or local public body. This form must be filed even if the contract qualifies as a small
purchase or a sole source contract. The prospective contractor must disclose whether they, a family member or a representative of the prospective
contractor has made a campaign contribution to an applicable public official of the state or a local public body during the two years prior to the date on
which the contractor submits a proposal or, in the case of a sole source or small purchase contract, the two years prior to the date the contractor signs
the contract, if the aggregate total of contributions given by the prospective contractor, a family member or a representative of the prospective
contractor to the public official exceeds two hundred and fifty dollars ($250) over the two year period.
Furthermore, the state agency or local public body shall void an executed contract or cancel a solicitation or proposed award for a proposed contract if:
1) a prospective contractor, a family member of the prospective contractor, or a representative of the prospective contractor gives a campaign
contribution or other thing of value to an applicable public official or the applicable public official’s employees during the pendency of the
procurement process or 2) a prospective contractor fails to submit a fully completed disclosure statement pursuant to the law.
THIS FORM MUST BE FILED BY ANY PROSPECTIVE CONTRACTOR WHETHER OR NOT HE/SHE/IT, HIS/HER/ITS FAMILY MEMBER,
OR REPRESENTATIVE HAS MADE ANY CONTRIBUTIONS SUBJECT TO DISCLOSURE.
The following definitions apply:
“Applicable public official” means a person elected to an office or a person appointed to complete a term of an elected office, who has the authority
to award or influence the award of the contract for which the prospective contractor is submitting a competitive sealed proposal or who has the
authority to negotiate a sole source or small purchase contract that may be awarded without submission of a sealed competitive proposal.
“Campaign Contribution” means a gift, subscription, loan, advance or deposit of money or other thing of value, including the estimated value of an
in-kind contribution, that is made to or received by an applicable public official or any person authorized to raise, collect or expend
contributions on that official’s behalf for the purpose of electing the official to either statewide or local office. “Campaign Contribution”
includes the payment of a debt incurred in an election campaign, but does not include the value of services provided without compensation or
unreimbursed travel or other personal expenses of individuals who volunteer a portion or all of their time on behalf of a candidate or political
committee, nor does it include the administrative or solicitation expenses of a political committee that are paid by an organization that
sponsors the committee.
“Family member” means spouse, father, mother, child, father-in-law, mother-in-law, daughter-in-law or son-in-law.
“Pendency of the procurement process” means the time period commencing with the public notice of the request for proposals and ending with the
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award of the contract or the cancellation of the request for proposals.
“Person” means any corporation, partnership, individual, joint venture, association or any other private legal entity.
“Prospective contractor” means a person who is subject to the competitive sealed proposal process set forth in the Procurement Code or is not
required to submit a competitive sealed proposal because that person qualifies for a sole source or a small purchase contract.
“Representative of a prospective contractor” means an officer or director of a corporation, a member or manager of a limited liability corporation, a
partner of a partnership or a trustee of a trust of the prospective contractor.
DISCLOSURE OF CONTRIBUTIONS:
Contribution Made By:
______
Relation to Prospective Contractor:
______
Name of Applicable Public Official:
Date Contribution(s) Made:
Amount(s) of Contribution(s)
______
Nature of Contribution(s)
Purpose of Contribution(s)
(Attach extra pages if necessary)
__________________________________
Signature
___________________________________
Title (Position)
________________________
Date
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─OR─
NO CONTRIBUTIONS IN THE AGGREGATE TOTAL OVER TWO HUNDRED FIFTY DOLLARS ($250) WERE MADE to an applicable public
official by me, a family member or representative.
______________________________
Signature
_______________________
Title (Position)
______________________________
Date
52
APPENDIX D
Sealed Cost Proposal Summary
53
APPENDIX D
Sealed Cost Proposal Summary
Offerors must complete the Cost Proposal contained in this Appendix (two pages). The total expenditures must be a not-to-exceed price for the total
contract amount and include travel, per diem, fringe benefits and any overhead costs for Offeror personnel. New Mexico gross receipts taxes are
excluded from the proposed maximum hourly rates. They shall be shown separately on the invoice.
Rates
The Offeror should provide the total not-to-exceed cost the Offeror will charge the Commission perform the contract. All out of pocket expenses,
including travel, should be included in the total compensation amount. The cost proposed should be provided in the following format:
Step1:
Cost by Phase/Deliverables
______________
Step 2:
______________
Step 3:
______________
Step 4:
______________
Step 5:
______________
Step 6:
______________
Subtotal
$50,000.00
New Mexico Gross Receipts Tax
$ 4,093.75
Total Compensation
$54,093.75
The costs for professional services and expenses contained in Appendix E are complete, based upon a not to exceed total contract amount, and are
firm for 120 days after proposal due date.
________________________________________
Offeror
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APPENDIX D (cont.)
Sealed Cost Proposal Summary
Manpower Costs
Est.
Hourly
Deliverable
Hours
Rate
Step 1
Total
Materials
Costs
Subcontractor
Costs
Travel Costs
Total
Step 2
Step 3
Step 4
Step 5
Step 6
Total Not to Exceed Price: _______________________
The Offeror must price the total cost of the deliverables at a not-to-exceed contract price. Total payments under this contract will not exceed the total cost
quoted in the proposal. However, the total cost may be exceeded if, after the draft and final reports are released, additional services, such as testimony, are
requested. Those costs must be quoted at a not-to-exceed hourly rate and will be billed separately from the base contract amount at the Offeror’s proposal
rates.
Total Not to Exceed Hourly Rates for Additional Services, as requested: __________________
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APPENDIX E
NONCOLLUSION AFFIDAVIT
56
APPENDIX E
NONCOLLUSION AFFIDAVIT
Contract/Requisition No. __________________
State of ________________________:
County of ______________________: s.s.
I state that I am ________(Title)___________ of _________(Name of Firm)_________ and that I am authorized to make this affidavit on behalf of
my firm, and its owners, directors, and officers. I am the person responsible in my firm for the price(s) and the amount of this bid.
I state that:
(1)
The price(s) and amount of this bid have been arrived at independently and without consultation, communication or agreement with
any other contractor, bidder or potential bidder.
(2)
Neither the price(s) nor the amount of this bid, and neither the approximate price(s) nor approximate amount of this bid, have been
disclosed to any other firm or person who is a bidder or potential bidder, and they will not be disclosed before bid opening.
(3)
No attempt has been made or will be made to induce any firm or person to refrain from bidding on this contract, or to submit a bid
higher than this bid, or to submit any intentionally high or noncompetitive bid or other form of complementary bid.
(4)
The bid of my firm is made in good faith and not pursuant to any agreement or discussion with, or inducement from, any firm or
person to submit a complementary or other noncompetitive bid.
(5)
______(Name of Firm)_________, its affiliates, subsidiaries, officers, directors, and employees are not currently under investigation
by any governmental agency and have not in the last four years been convicted or found liable for any act prohibited by state or federal law in any jurisdiction,
involving conspiracy or collusion with respect to bidding on any public contract, except as follows:
I state that ______(Name of Firm)______ understands and acknowledges that the above representations are material and important, and will
be relied on by ___(Name of Purchasing Agency)__ in awarding the contract(s)/purchase order(s) for which this bid is submitted. I understand and my firm
understands that any misstatement in this affidavit is and shall be treated as fraudulent concealment from the Purchasing Agency of the true facts relating to
the submission of this bid.
________________________________
(Signature)
(Signatory’s Name)
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__________________________________
(Signatory’s Title)
SWORN TO AND SUBSCRIBED
BEFORE ME THIS _______ DAY
OF ___________________ 20____
__________________________________ My Commission Expires ________________________
Notary Public
58
Appendix F
Former Employee Affidavit
59